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+<|ref|>title<|/ref|><|det|>[[44, 106, 890, 178]]<|/det|>
+# Senolytic therapy alleviates physiological human brain aging and COVID-19 neuropathology
+
+<|ref|>text<|/ref|><|det|>[[44, 195, 668, 238]]<|/det|>
+Julio Aguado ( j.aguadoperez@uq.edu.au ) The University of Queensland https://orcid.org/0000- 0002- 1841- 4741
+
+<|ref|>text<|/ref|><|det|>[[44, 243, 275, 284]]<|/det|>
+Alberto Amarilla University of Queensland
+
+<|ref|>text<|/ref|><|det|>[[44, 290, 930, 333]]<|/det|>
+Atefeh Taherian Fard Australian Institute for Bioengineering and Nanotechnology https://orcid.org/0000- 0002- 9126- 4540
+
+<|ref|>text<|/ref|><|det|>[[44, 337, 275, 377]]<|/det|>
+Eduardo Albornoz University of Queensland
+
+<|ref|>text<|/ref|><|det|>[[44, 383, 905, 426]]<|/det|>
+Alexander Tyshkovskiy Brigham and Women's Hospital, Harvard Medical School https://orcid.org/0000- 0002- 6215- 190X
+
+<|ref|>text<|/ref|><|det|>[[44, 430, 940, 494]]<|/det|>
+Marius Schwabenland Institute of Neuropathology, Faculty of Medicine, University of Freiburg https://orcid.org/0000- 0003- 2205- 5427
+
+<|ref|>text<|/ref|><|det|>[[44, 499, 835, 542]]<|/det|>
+Harman Chaggar Australian Institute for Bioengineering and Nanotechnology, The University of Queensland
+
+<|ref|>text<|/ref|><|det|>[[44, 546, 275, 586]]<|/det|>
+Naphak Modhiran University of Queensland
+
+<|ref|>text<|/ref|><|det|>[[44, 592, 313, 632]]<|/det|>
+Cecilia Gomez- Inclan The University of Queensland
+
+<|ref|>text<|/ref|><|det|>[[44, 638, 275, 678]]<|/det|>
+Ibrahim Javed University of Queensland
+
+<|ref|>text<|/ref|><|det|>[[44, 684, 275, 724]]<|/det|>
+Alireza Baradar University of Queensland
+
+<|ref|>text<|/ref|><|det|>[[44, 730, 275, 770]]<|/det|>
+Benjamin Liang University of Queensland
+
+<|ref|>text<|/ref|><|det|>[[44, 776, 250, 795]]<|/det|>
+Malindrie Dharmaratne
+
+<|ref|>text<|/ref|><|det|>[[44, 799, 833, 820]]<|/det|>
+Australian Institute for Bioengineering and Nanotechnology, The University of Queensland
+
+<|ref|>text<|/ref|><|det|>[[44, 824, 240, 842]]<|/det|>
+Giovanni Pietrogrande
+
+<|ref|>text<|/ref|><|det|>[[44, 846, 833, 865]]<|/det|>
+Australian Institute for Bioengineering and Nanotechnology, The University of Queensland
+
+<|ref|>text<|/ref|><|det|>[[44, 870, 250, 888]]<|/det|>
+Pranesh Padmanabhan
+
+<|ref|>text<|/ref|><|det|>[[44, 892, 641, 911]]<|/det|>
+Queensland Brain Institute https://orcid.org/0000- 0001- 5569- 8731
+
+<|ref|>text<|/ref|><|det|>[[44, 916, 178, 953]]<|/det|>
+Morgan Freney University of Queensland
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[44, 42, 275, 87]]<|/det|>
+Rhys Parry University of Queensland
+
+<|ref|>text<|/ref|><|det|>[[44, 92, 275, 133]]<|/det|>
+Julian Sng University of Queensland
+
+<|ref|>text<|/ref|><|det|>[[44, 139, 275, 180]]<|/det|>
+Ariel Isaacs University of Queensland
+
+<|ref|>text<|/ref|><|det|>[[44, 185, 275, 226]]<|/det|>
+Alexander Khromykh University of Queensland
+
+<|ref|>text<|/ref|><|det|>[[44, 231, 300, 272]]<|/det|>
+Alejandro Rojas- Fernandez Universidad Austral de Chile
+
+<|ref|>text<|/ref|><|det|>[[44, 277, 275, 317]]<|/det|>
+Thomas Davis University of Queensland
+
+<|ref|>text<|/ref|><|det|>[[44, 323, 744, 364]]<|/det|>
+Marco Prinz Medical Center - University of Freiburg https://orcid.org/0000- 0002- 0349- 1955
+
+<|ref|>text<|/ref|><|det|>[[44, 369, 243, 410]]<|/det|>
+Bertram Bengsch University of Freiburg
+
+<|ref|>text<|/ref|><|det|>[[44, 415, 937, 456]]<|/det|>
+Vadim Gladyshev Brigham and Women's Hospital and Harvard Medical School https://orcid.org/0000- 0002- 0372- 7016
+
+<|ref|>text<|/ref|><|det|>[[44, 460, 634, 502]]<|/det|>
+Trent Woodruff University of Queensland https://orcid.org/0000- 0003- 1382- 911X
+
+<|ref|>text<|/ref|><|det|>[[44, 507, 275, 547]]<|/det|>
+Jessica Mar University of Queensland
+
+<|ref|>text<|/ref|><|det|>[[44, 553, 275, 594]]<|/det|>
+Daniel Watterson University of Queensland
+
+<|ref|>text<|/ref|><|det|>[[44, 600, 670, 640]]<|/det|>
+Ernst Wolvetang The University of Queensland https://orcid.org/0000- 0002- 2146- 6614
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 683, 101, 700]]<|/det|>
+## Article
+
+<|ref|>title<|/ref|><|det|>[[44, 720, 135, 738]]<|/det|>
+# Keywords:
+
+<|ref|>text<|/ref|><|det|>[[44, 758, 314, 777]]<|/det|>
+Posted Date: March 16th, 2023
+
+<|ref|>text<|/ref|><|det|>[[44, 797, 473, 816]]<|/det|>
+DOI: https://doi.org/10.21203/rs.3.rs- 2675698/v1
+
+<|ref|>text<|/ref|><|det|>[[44, 834, 909, 877]]<|/det|>
+License: © © This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+<|ref|>text<|/ref|><|det|>[[44, 895, 531, 914]]<|/det|>
+Additional Declarations: There is NO Competing Interest.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[42, 45, 950, 88]]<|/det|>
+Version of Record: A version of this preprint was published at Nature Aging on November 13th, 2023. See the published version at https://doi.org/10.1038/s43587-023-00519-6.
+
+<--- Page Split --->
+<|ref|>title<|/ref|><|det|>[[75, 83, 891, 133]]<|/det|>
+# 1 Senolytic therapy alleviates physiological human brain aging and COVID-19 neuropathology
+
+<|ref|>text<|/ref|><|det|>[[70, 145, 910, 330]]<|/det|>
+3 Julio Aguado \(^{1,*}\) , Alberto A. Amarilla \(^{2,14}\) , Atefeh Taherian Fard \(^{1}\) , Eduardo A. Albornoz \(^{3}\) , Alexander Tyshkovskiy \(^{4,5}\) , Marius Schwabenland \(^{6}\) , Harman K. Chaggar \(^{1,7}\) , Naphak Modhiran \(^{1,2}\) , Cecilia Gomez- Inclan \(^{1}\) , Ibrahim Javed \(^{1}\) , Alireza A. Baradar \(^{1}\) , Benjamin Liang \(^{2}\) , Malindrie Dharmaratne \(^{1}\) , Giovanni Pietrogrande \(^{1}\) , Pranesh Padmanabhan \(^{8}\) , Morgan E. Freney \(^{2}\) , Rhys Parry \(^{2}\) , Julian D.J. Sng \(^{2}\) , Ariel Isaacs \(^{2}\) , Alexander A. Khromykh \(^{2,9}\) , Alejandro Rojas- Fernandez \(^{10}\) , Thomas P. Davis \(^{1}\) , Marco Prinz \(^{6,11}\) , Bertram Bengsch \(^{11,12}\) , Vadim N. Gladyshev \(^{4,13}\) , Trent M. Woodruff \(^{8}\) , Jessica C. Mar \(^{1,14}\) , Daniel Watterson \(^{2,14}\) , and Ernst J. Wolvetang \(^{1,14}\) .
+
+<|ref|>text<|/ref|><|det|>[[66, 380, 900, 899]]<|/det|>
+13 1 Australian Institute for Biotechnology and Nanotechnology, University of Queensland, St Lucia, QLD 4072, Australia. 15 2 School of Chemistry and Molecular Biosciences, University of Queensland, St Lucia, QLD, Australia 4072. 17 3 School of Biomedical Sciences, Faculty of Medicine, University of Queensland, St Lucia, Queensland 4072, Australia. 19 4 Division of Genetics, Department of Medicine, Brigham and Women's Hospital, Harvard Medical School, Boston, MA 02115, USA. 21 5 Belozersky Institute of Physico-Chemical Biology, Moscow State University, Moscow 119234, Russia. 22 6 Institute of Neuropathology and Center for Basics in NeuroModulation (NeuroModulBasics), Faculty of Medicine, University of Freiburg, Freiburg, Germany 24 7 Cellese Ltd, Cardiff Medicentre, Heath Park, Cardiff, United Kingdom. 25 8 Clem Jones Centre for Ageing Dementia Research, Queensland Brain Institute, The University of Queensland, Brisbane, QLD, Australia 27 9 Australian Infectious Disease Research Centre, Global Virus Network Centre of Excellence, Brisbane QLD, Australia. 29 10 Institute of Medicine, Faculty of Medicine, Universidad Austral de Chile, Valdivia, Chile. 30 11 Signalling Research Centers BIOSS and CIBSS, University of Freiburg, Freiburg, Germany 31 12 Faculty of Medicine, Clinic for Internal Medicine II, Gastroenterology, Hepatology, Endocrinology, and Infectious Disease, University Medical Center Freiburg, Freiburg, Germany 33 13 Broad Institute of MIT and Harvard, Cambridge, MA 02142, USA. 34 14 These authors contributed equally to this work as co- senior authors. 35 \*Corresponding author. Email: j.aguadoperez@uq.edu.au
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[118, 87, 222, 106]]<|/det|>
+## Abstract
+
+<|ref|>text<|/ref|><|det|>[[115, 111, 911, 730]]<|/det|>
+Aging is the primary risk factor for most neurodegenerative diseases, and recently coronavirus disease 2019 (COVID- 19) has been associated with severe neurological manifestations that can eventually impact neurodegenerative conditions in the long- term. The progressive accumulation of senescent cells in vivo strongly contributes to brain aging and neurodegenerative co- morbidities but the impact of virus- induced senescence in the aetiology of neuropathologies is unknown. Here, we show that senescent cells accumulate in physiologically aged brain organoids of human origin and that senolytic treatment reduces inflammation and cellular senescence; for which we found that combined treatment with the senolytic drugs dasatinib and quercetin rejuvenates transcriptomic human brain aging clocks. We further interrogated brain frontal cortex regions in postmortem patients who succumbed to severe COVID- 19 and observed increased accumulation of senescent cells as compared to age- matched control brains from non- COVID- affected individuals. Moreover, we show that exposure of human brain organoids to SARS- CoV- 2 evoked cellular senescence, and that spatial transcriptomic sequencing of virus- induced senescent cells identified a unique SARS- CoV- 2 variant- specific inflammatory signature that is different from endogenous naturally- emerging senescent cells. Importantly, following SARS- CoV- 2 infection of human brain organoids, treatment with senolytics blocked viral retention and prevented the emergence of senescent corticothalamic and GABAergic neurons. Furthermore, we demonstrate in human ACE2 overexpressing mice that senolytic treatment ameliorates COVID- 19 brain pathology following infection with SARS- CoV- 2. In vivo treatment with senolytics improved SARS- CoV- 2 clinical phenotype and survival, alleviated brain senescence and reactive astrogliosis, promoted survival of dopaminergic neurons, and reduced viral and senescence- associated secretory phenotype gene expression in the brain. Collectively, our findings demonstrate SARS- CoV- 2 can trigger cellular senescence in the brain, and that senolytic therapy mitigates senescence- driven brain aging and multiple neuropathological sequelae caused by neurotropic viruses, including SARS- CoV- 2.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[118, 86, 267, 107]]<|/det|>
+## Introduction
+
+<|ref|>text<|/ref|><|det|>[[115, 115, 911, 603]]<|/det|>
+Although severe acute respiratory syndrome coronavirus 2 (SARS- CoV- 2) is primarily a respiratory viral pathogen and the cause of coronavirus disease 2019 (COVID- 19), persistent post- acute infection syndromes (PASC) derived from viral infections including SARS- CoV- 2 are emerging as a frequent clinical picture1,2. In fact, most COVID- 19 patients including individuals with or without comorbidities, and even asymptomatic patients, often experience a range of neurological complications3,4. ‘Long- COVID’ is a type of PASC that is gaining significant awareness, with patients reporting persistent manifestations, such as hyposmia, hypogeusia, sleep disorders and substantial cognitive impairment, the latter affecting approximately one in four COVID- 19 cases5- 7. These clinical symptoms are supported by ample evidence of SARS- CoV- 2 infectivity in multiple cell types of the nervous system8- 16 and significant structural changes in the brains of COVID- 19 patients17. Furthermore, patient transcriptomic data from postmortem brain tissue indicate associations between the cognitive decline observed in patients with severe COVID- 19 and molecular signatures of brain aging18. In agreement with this observation, postmortem patient biopsies show that SARS- CoV- 2- infected lungs — compared to uninfected counterparts — accumulate markedly higher levels of senescence19; a cellular phenotype known to contribute to organismal aging20 and co- morbidities such as chronic degenerative conditions21. Importantly, although recent data supports a role for senescent cells in driving neurodegeneration and cognitive decline in in vivo models of neuropathology22,23 and in physiologically aged mice24, their contribution to COVID pathology in the central nervous system (CNS) and human tissue brain aging remains unknown.
+
+<|ref|>text<|/ref|><|det|>[[115, 607, 911, 749]]<|/det|>
+In the past decade, numerous strategies have been developed to target senescent cells25. Among these, the pharmacological removal of senescent cells with senolytic drugs has become one of the most explored interventions, with many currently in human clinical trials26. A group of these senolytics — such as the cocktail of dasatinib plus quercetin (D+Q), or fisetin — exhibit blood- brain barrier permeability upon oral administration22,27, making these formulations particularly valuable to test the contribution of senescence in the brain in vivo.
+
+<|ref|>text<|/ref|><|det|>[[115, 754, 911, 897]]<|/det|>
+In the present study, we first document the efficacy of multiple senolytic interventions in clearing senescent cells in physiologically aged human pluripotent stem cell- derived brain organoids. Transcriptomic analysis across individual senolytic treatments revealed a differential effect in modulating the senescence- associated secretory phenotype (SASP), with a distinctive impact of D+Q administration in rejuvenating the organoids transcriptomic aging clock. Importantly, we report an enrichment of senescent cells in postmortem brain tissue of COVID- 19 patients and
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[113, 82, 911, 472]]<|/det|>
+further show a direct role for SARS- CoV- 2 and highly neurotropic viruses such as Zika and Japanese encephalitis in evoking cellular senescence in human brain organoids. SARS- CoV- 2 variant screening identified Delta (B.1.617.2) as the variant that exerts the strongest induction of cellular senescence in human brain organoids, and spatial transcriptomic analysis of Delta- induced senescent cells unveiled a novel type of senescence that exhibits a different transcriptional signature from senescent cells that naturally emerge in in vitro aged uninfected organoids. Furthermore, senolytic treatment of SARS- CoV- 2- infected organoids selectively removed senescent cells, lessened SASP- related inflammation and reduced SARS- CoV- 2 RNA expression, indicating a putative role for senescent cells in facilitating viral retention. Finally, to gain in vivo relevance of these findings, we examined the treatment effects of senolytics in transgenic mice expressing human angiotensin- converting enzyme 2 (hACE2) previously infected with SARS- CoV- 2 and observed improved clinical performance and survival, reduced viral load in the brain, improved survival of dopaminergic neurons, decreased astrogliosis, and attenuated senescence and SASP gene expression in the brains of the infected mice. Our findings suggest a detrimental role for virus- induced senescence in accelerating brain inflammation and the aging process in the CNS, and a potential therapeutic role for senolytics in the treatment of COVID- 19 neuropathology.
+
+<|ref|>sub_title<|/ref|><|det|>[[118, 503, 205, 523]]<|/det|>
+## Results
+
+<|ref|>sub_title<|/ref|><|det|>[[118, 534, 888, 577]]<|/det|>
+## Senolytics target biological aging and senescent cells in physiologically aged human brain organoids.
+
+<|ref|>text<|/ref|><|det|>[[115, 583, 912, 874]]<|/det|>
+To model the efficacy of senolytics in clearing senescent cells from human brain tissue models, we generated 8- month- old human brain organoids (BOs) from embryonic stem cells and exposed these to two doses of senolytics for one month at 2 weekly intervals (Supplementary Fig. 1a). We tested the Bcl- 2 inhibitors navitoclax and ABT- 737, as well as D+Q senolytic drug combination, and quantified the abundance of cells exhibiting senescence- associated \(\beta\) - galactosidase activity (SA- \(\beta\) - gal). Exposure to senolytics resulted in significantly lower SA- \(\beta\) - gal activity as compared to vehicle- treated controls (Fig. 1a, c), indicating that all treatments eliminated a large number of senescent cells in the treated BOs. In agreement with this, analysis of lamin B1 protein expression — a nuclear lamina marker often downregulated in senescence28 — within organoid sections revealed a significantly higher content of lamin B1 in the senolytic- treated organoids as compared to control counterparts (Fig. 1b, d), further indicating that senolytics cleared senescent cells by enriching for lamin B1High cell populations.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[113, 78, 910, 696]]<|/det|>
+We next performed whole- organoid RNA sequencing to compare the transcriptomes of fenolytic- treated and vehicle control 9- month- old BOs. Consistent with our protein expression data (Fig. 1b, d), LMNB1 (lamin B1) mRNA levels were significantly upregulated in all three fenolytic- treated organoids compared to vehicle- treated counterparts (Fig. 2a- c). We further identified 81 senescence- associated genes (including the proinflammatory genes CXCL13 and TNFAIP8) that were consistently suppressed upon all three fenolytic interventions (Fig. 2d and Supplementary Fig. 1b). We however also noticed that each fenolytic treatment exerted substantially different effects in modulating the SASP and other senescence- associated genes (Fig. 2a- c). For instance, SERPINF1 was significantly repressed upon ABT- 737 administration (Fig. 2b) while D+Q did not modulate SERPINF1 expression but greatly suppressed IL8, SERPINE1 and IL1A (Fig. 2c). Compared to navitoclax and ABT- 737 – compounds that modulate multiple shared genes that are enriched for a few pathways (e.g. K- Ras signalling) (Fig. 2e) –, D+Q had a broader spectrum effect, mitigating multiple pro- inflammatory pathways characteristic of cellular senescence, such as NF- \(\kappa\) B and IFNγ signalling (Fig. 2e and Supplementary Fig. 1c). In addition, we identified mTOR as a significantly supressed pathway upon D+Q treatment (Fig. 2e), validating the effects reported for Q as an inhibitor of mTOR kinase. We next performed aging clock predictions based on whole transcriptome sequencing to further explore the impact of fenolytic on the aging process. Remarkably, in addition to their fenolytic mechanisms of action, D+Q treatments on 9- month- old organoids reverted their gene expression age to levels comparable of 8- month- old counterparts according to transcriptomic brain aging clock analysis (Fig. 2f), a phenotype not recapitulated by the other two fenolytic tested. Besides negative association with aging, gene expression changes induced by D+Q treatment were positively correlated with mammalian signatures of established lifespan- extending interventions, such as caloric restriction and rapamycin administration (Fig. 2g), indicating a health- promoting role of D+Q in targeting cellular senescence and biological aging in human CNS tissues.
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 699, 901, 741]]<|/det|>
+## SARS-CoV-2 infection triggers cellular senescence in the brains of COVID-19 patients and in human brain organoids.
+
+<|ref|>text<|/ref|><|det|>[[115, 746, 910, 912]]<|/det|>
+Given the observed neuroinflammatory effects of SARS- CoV- 2 infection during acute COVID- 19 disease29 and its association with molecular signatures of aging in patient brains18, we postulated that part of this pro- inflammatory aging- promoting environment is brought about by SARS- CoV- 2- induced senescence in the brain. To test this hypothesis, we quantified the prevalence of senescent cells in postmortem frontal cortex from age- matched brains of patients that either died following severe COVID- 19 or patients who died of non- infectious, and non- neurological reasons. Notably, in situ high- throughput analysis of over 2.7 million single cells
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 80, 911, 225]]<|/det|>
+across 15 individual brain samples (7 COVID- 19 and 8 non- COVID- 19 frontal cortex sections) revealed increased p16 immunoreactivity frequencies in COVID- 19 patient brains, with a \(>7\) - fold increase in the number of p16- positive cells as compared to non- COVID- 19 age- matched controls (Fig. 3). These results suggest a potential role for SARS- CoV- 2 in triggering cellular senescence, a cellular phenotype that contributes to cognitive decline and that could pose a risk in the acceleration of neurodegenerative processes associated with long- COVID.
+
+<|ref|>text<|/ref|><|det|>[[110, 225, 911, 723]]<|/det|>
+To study the role of neurotropic viruses in aging- driven neuropathology, we exposed human BOs to different viral pathogens, including SARS- CoV- 2. Consistent with previous reports \(^{8,9,16,30}\) , SARS- CoV- 2 BO infections were detected largely within populations of neurons and neural progenitors (Supplementary Fig. 2a, b). To test putative virus- induced senescence phenotypes, we screened seven SARS- CoV- 2 variants by infecting human BOs at identical multiplicity of infection (MOI) and ranked them based on SA- \(\beta\) - gal activity as initial readouts of cellular senescence. Notably, most variants elicited a significant increase in SA- \(\beta\) - gal, with Delta (B.1.617.2) showing the strongest induction (Fig. 4a, b). In addition, serial sectioning of Delta- infected organoids revealed a distinctive colocalization between SA- \(\beta\) - gal and viral spike protein (Fig. 4c), further supporting a role for SARS- CoV- 2 in driving virus- induced senescence in the brain. This phenotype was confirmed when organoid sections were co- immunolabelled with antibodies against p16 and SARS- CoV- 2 nucleocapsid antigens (Fig. 4d). Because of the mechanistic role of DNA damage in affecting most aging hallmarks \(^{31}\) , including the onset of cellular senescence \(^{32}\) , we next explored whether SARS- CoV- 2 infection led to DNA double- strand break accumulation. Consistent with previous evidence \(^{19,33}\) , we detected significantly heightened levels of phosphorylated histone H2AX at serine 139 (known as \(\gamma\) H2AX) in SARS- CoV- 2- infected organoid regions as compared to uninfected organoid cells (Fig. 4e, f), indicating increased DNA damage response marks upon SARS- CoV- 2 infection. Importantly, virus- induced senescence also became detectable in response to a variety of human neurotropic viruses, including Japanese Encephalitis virus (JEV), Rocio virus (ROCV) and Zika virus (ZIKV) in human BOs (Fig. 4g).
+
+<|ref|>text<|/ref|><|det|>[[110, 722, 911, 914]]<|/det|>
+As SARS- CoV- 2 infection is coupled with cognitive decline and signatures of aging, we further assessed associations of transcriptomic changes in COVID- 19 patients and SARS- CoV- 2- infected human BOs. Specifically, we compared post- mortem frontal cortex transcriptomic data from a COVID- 19 cohort study of 44 individual patient brains \(^{18}\) with bulk RNA sequencing we performed on human cortical brain organoids 10 days post infection. Notably, among 1,588 differentially expressed genes (DEGs) between SARS- CoV- 2- infected human BOs compared and uninfected counterparts, 485 genes (30.54%) were also differentially expressed in COVID- 19 patient brain samples. Of note, this common gene set was enriched for known aging and senescence pathways,
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 82, 910, 128]]<|/det|>
+identified in the hallmark gene set collection of the Molecular Signatures Database34 (Supplementary Fig. 3a).
+
+<|ref|>text<|/ref|><|det|>[[110, 130, 911, 688]]<|/det|>
+To better understand the differential effects of the ancestral Wuhan virus and Delta (B.1.617.2) SARS- CoV- 2 variants on senescence induction in hBOs, performed NanoString GeoMx spatial transcriptomic sequencing on p16 protein- expressing regions of interest (ROIs) within organoid sections (Fig. 4h). ROI selection was performed to enable the capture of targeted transcriptome from sufficient senescent cell tissue (>300 cells per ROI) to generate robust count data. Our bulk RNA sequencing analysis revealed 1,250 DEGs in Wuhan- infected BOs as compared to a lower 474 DEGs in Delta- infected counterparts (Supplementary Fig. 3b), a result possibly explained by the higher infectivity rate observed in the Wuhan- infected organoids (Supplementary Fig. 3c). Strikingly, spatial transcriptome analysis of p16- positive cells identified over 1,100 DEGs in Delta- infected organoids, an effect 100- fold greater than Wuhan where only 9 DEGs were detected (Supplementary Fig. 3b). This was explained by principal component analysis, where gene set space determined that the Delta- infected ROIs were separable from overlapping transcriptomes from Wuhan- infected and uninfected senescent cell regions (Supplementary Fig. 4a). Upon extensive analysis of significantly modulated gene expression in p16- positive ROIs of Delta- infected organoids, we identified 458 genes associated with cellular senescence that differentially clustered from Wuhan- infected and uninfected ROIs (Fig. 4i), with many interleukins significantly elevated in Delta- infected ROIs (Fig. 4j). Importantly, this unique Delta- specific senescence transcriptional signature was detected in the presence of heightened normalized SARS- CoV- 2 gene expression in Delta compared to p16- positive cells of Wuhan- infected organoids (Fig. 4k). Altogether, these results demonstrate a direct role for SARS- CoV- 2 and neurotropic flaviviruses in fuelling virus- induced senescence, and revealed a specific effect of Delta (B.1.617.2) in inducing the selective induction of a de novo transcriptional signature and simultaneous accumulation of SARS- CoV- 2 in senescent cells of human BOs.
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 697, 877, 740]]<|/det|>
+## Senolytics reduce SARS-CoV-2 viral expression and virus-induced senescence in human brain organoids.
+
+<|ref|>text<|/ref|><|det|>[[115, 745, 911, 914]]<|/det|>
+The results described so far support a functional role of SARS- CoV- 2 in inducing brain cellular senescence. To investigate whether this virus- induced phenotype could be pharmacologically targeted, we next tested the impact of the selective removal of senescent cells with the same senolytic interventions we previously showed were effective in eliminating senescent cells from physiologically aged organoids (Fig. 5a). We observed that senolytic treatments 5 days post SARS- CoV- 2 infection significantly reduced the number of brain organoid cells that display SA- \(\beta\) - gal activity (Fig. 5b). Notably, senolytic treatment in Delta- infected organoids had an overall
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 82, 911, 472]]<|/det|>
+more prominent and statistically significant effect in reducing cellular senescence as compared to Wuhan- infected counterparts, consistent with the stronger virus- induced senescence phenotype observed upon Delta infections in our initial SARS- CoV- 2 variant screening (Fig. 5a, b). Moreover, senolytics were able to revert lamin B1 loss induced by Delta infections (Supplementary Fig. 4b). Remarkably, treatment with senolytics reduced the viral load in BOs up to 40- fold as measured by intracellular SARS- CoV- 2 RNA levels (Fig. 5c), indicating a putative role of senescent cells as reservoirs that may preferentially facilitate viral replication. To characterise cell type- specific SARS- CoV- 2- induced senescence, we performed deconvolution of spatial transcriptomic data from p16- positive cells (Fig. 5d), a type of analysis that enables cell abundance estimates from gene expression patterns \(^{35}\) . We identified layer 6 corticothalamic neurons (L6CT L6b, \(>9\) - fold induction) and GABAergic ganglionic eminence neurons (CGE, \(>4\) - fold induction) as the two neuronal populations that showed significantly increased senescence incidence upon SARS- CoV- 2 infections in brain organoids (Fig. 5e); two brain cell populations that are vital for modulating neural circuitry and processing incoming sensory information \(^{36}\) . Importantly, all the three senolytic treatments tested prevented the accumulation of cellular senescence in both L6CT L6b and CGE brain organoid cell populations (Fig. 5e).
+
+<|ref|>sub_title<|/ref|><|det|>[[116, 478, 680, 496]]<|/det|>
+## Senolytic treatments mitigate COVID-19 brain pathology in vivo.
+
+<|ref|>text<|/ref|><|det|>[[111, 500, 911, 916]]<|/det|>
+To investigate the consequences of CNS SARS- CoV- 2 infection and ensuing brain virus- induced senescence in a more physiologically complete system, we utilised transgenic mice expressing human ACE2 gene under the control of the keratin 18 promoter (K18- hACE2) \(^{37}\) and performed intranasal SARS- CoV- 2 infections, where we found brain viral nucleocapsid antigen in cerebral cortex and brainstem regions (Supplementary Fig. 5a). Experimentally, 24 hours post infection we initiated oral administration of the senolytic interventions navitoclax, fisetin and D+Q – drugs known to exert blood- brain barrier permeability \(^{22,38}\) – with subsequent treatments every two days (Fig. 6a). As previously reported, SARS- CoV- 2- infected K18- hACE2 transgenic mice undergo dramatically shortened lifespans upon infection \(^{37}\) , with a median survival of 5 days. Strikingly, treatment with D+Q or fisetin significantly improved the survival of K18- hACE2 mice as compared to vehicle- treated controls, with extended median lifespans of 60% (Fig. 6b). Furthermore, while at 10 days post infection all vehicle- treated control mice were already dead, at survival experimental endpoint (12 days post infection) a percentage of senolytic- treated mice – 22% (fisetin), 38% (D+Q) and 13% (navitoclax) – remained alive (Fig. 6b). This significantly improved survival upon senolytic administration of infected mice concurrently delayed the rapid weight loss observed in the infected control group (Supplementary Fig. 5b). Throughout the first week of the in vivo experiments, mice were clinically monitored and scored daily for behavioural
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 82, 911, 127]]<|/det|>
+and physical performance (Fig. 6c). Notably, senolytic interventions resulted in a profound reduction of COVID- related disease features, especially in the D+Q- treated group (Fig. 6c).
+
+<|ref|>text<|/ref|><|det|>[[111, 131, 911, 450]]<|/det|>
+Given the positive survival and improved clinical performance outcomes brought about by senolytic treatment, we investigated whether the oral administration of senolytics impacted the histological architecture and pro- inflammatory makeup of brains from infected mice. To this end, we first tested the impact of senolytics on brain viral RNA levels. In accordance with our brain organoid data (Fig. 5c), senolytic treatments of infected K18- hACE2 mice showed a significantly lower viral gene expression compared to infected vehicle- treated mice (Fig. 6d), further supporting a putative role for senescent cells in preferentially sustaining SARS- CoV- 2 replication. We next tested whether senescent cell clearance directly impacted the transcription of SASP and senescence genes in the brain. mRNA expression analyses from brains of uninfected and infected mice indicated an overall increase in inflammatory SASP and p16 senescence markers in the brains of infected mice (Fig. 6e). Most importantly, all three senolytic interventions consistently normalised brain SASP and senescence gene expression of infected mice to levels comparable to those of uninfected brains (Fig. 6e).
+
+<|ref|>text<|/ref|><|det|>[[111, 452, 911, 692]]<|/det|>
+Neuroinvasive viral infections can result in loss of dopaminergic neurons and ensuing PASC such as parkinsonism39. Given the long- term neurological impact of COVID- 19 including coordination and consciousness disorders40, we therefore tested the impact of SARS- CoV- 2 infection on altering dopaminergic neuron survival within the brainstem, an important region of the brain known to regulate these behaviours. Strikingly, Delta variant infection induced a dramatic loss of dopaminergic neurons in the brainstem, as measured by tyrosine hydroxylase immunolabelling (Fig. 6f, g), and this was accompanied by increased astrogliosis (Fig. 6f, h), a neurotoxic process common to multiple neurological disorders41. Importantly, recurrent senolytic treatments initiated 24 hours after SARS- CoV- 2 exposure partly prevented dopaminergic neuron loss and abrogated the onset of reactive astrogliosis (Fig. 6f- h).
+
+<|ref|>sub_title<|/ref|><|det|>[[118, 700, 242, 720]]<|/det|>
+## Discussion
+
+<|ref|>text<|/ref|><|det|>[[115, 729, 911, 874]]<|/det|>
+Brain aging and related cognitive deficiency have been attributed to diverse molecular processes including chronic inflammation and cellular senescence42. This has been studied both in normal murine aging24, as well as in different age- related mouse models of neurodegeneration such as Parkinson's disease43, tauopathies23,44, amyloid- beta neuropathology22, and neuropsychiatric disorders45. However, whether the endogenous age- related onset of cellular senescence impacts brain aging in human tissue systems has not been investigated. Neither have the putative
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 83, 908, 125]]<|/det|>
+consequences of neurotropic viral infections in accelerating the onset of cellular senescence in the brain been examined.
+
+<|ref|>text<|/ref|><|det|>[[115, 131, 910, 495]]<|/det|>
+Our findings herein show that: (1) senescent cells accumulate in physiologically aged brain organoids of human origin and that long- term (4 weeks), intermittent, senolytic treatment reduces inflammation and cellular senescence; (2) interventions unique to D+Q treatments induce anti- aging and pro- longevity gene expression changes in human BOs; (3) brains from COVID- 19 patients undergo accelerated cellular senescence accumulation compared to age- matched controls; (4) SARS- CoV- 2 and neurotropic viruses including Zika and JEV can infect human BOs to directly induce cellular senescence; (5) Delta (B.1.617.2) variant induces the strongest SARS- CoV- 2- dependent induction of cellular senescence, where spatial transcriptomic sequencing of p16- positive cells identifies a Delta- specific SASP signature; (6) short- term (5 days) senolytic treatments of SARS- CoV- 2- infected organoids reduce viral gene expression and prevent the onset of senescent neurons of corticothalamic and GABAergic nature; and (7) senolytic treatment following SARS- CoV- 2 intranasal infection of K18- hACE2 mice ameliorates COVID- 19 neuropathology, including improvements in clinical score and survival, alleviation of reactive astrogliosis, increased survival of dopaminergic neurons, and reduced viral, SASP and senescence gene expression in the brain of infected mice.
+
+<|ref|>text<|/ref|><|det|>[[115, 500, 911, 765]]<|/det|>
+To evaluate the relationship between senescent cell accumulation and brain aging, we designed studies to eliminate senescent cells through pharmacologic approaches (D+Q, navitoclax and ABT- 737) and hypothesized that senolytic interventions may have beneficial consequences in targeting brain aging. We found that physiologically aged human BOs accumulate senescent cells and that senolytic treatment can be used as a proof- of- concept strategy to revert Lamin B1 levels, and alleviate differential SASP expression and senescent cell burden in human brain BOs systems. In addition to senolytic activity, transcriptomic aging clocks identified D+Q as an intervention that achieved tissue rejuvenation, as 8- month- old human brain organoids displayed comparable aging clocks to D+Q- treated 9- month- old counterparts. Given that senescent cell clearance results in reversal of the aging process, these findings support an important role for senescent cells in driving human brain aging.
+
+<|ref|>text<|/ref|><|det|>[[115, 771, 911, 912]]<|/det|>
+Further to normal brain aging, we tested the possibility of virus- induced senescence upon BOs neurotropic infections. We found that flavivirus JEV, ROCV and ZIKV infections, and multiple SARS- CoV- 2 variant infections lead to a significant increase in BO cellular senescence. Importantly, upon senolytic delivery BOs display a dramatic loss of SARS- CoV- 2 viral RNA expression, suggestive of a role for senescent cells in preferentially facilitating viral entry and retention, consistent with data showing increased ACE2 expression in human senescent cells46.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 81, 911, 250]]<|/det|>
+Furthermore, SARS- CoV- 2 induces metabolic changes in infected and neighbouring neurons8, a paracrine phenomenon reminiscent of the bystander effect characteristic of senescent cells47. Here, spatial transcriptomic sequencing cell deconvolution of p16 protein- expressing cell clusters identified two neuronal populations – corticothalamic and GABAergic – that become senescent and broadly develop a de novo SASP signature upon Delta (B.1.617.2) infection. It will therefore be of interest to determine whether neuronal virus- induced senescence contributes to neuroinflammation and the long- term neurological impact of COVID- 19.
+
+<|ref|>text<|/ref|><|det|>[[111, 254, 911, 718]]<|/det|>
+In the brains of SARS- CoV- 2- infected K18- hACE2 mice, we found that senolytic treatment alleviates p16 and the levels of proinflammatory cytokines which may be due, in part, to removal of virus- induced senescence and ensuing SASP expression. However, secondary anti- inflammatory and/or anti- viral effects of D+Q, fisetin or navitoclax – for instance by direct inhibition of the observed astrogliosis – are also possible. Upon systematic monitoring of clinical performance in SARS- CoV- 2- infected mice, we found that intermittent senolytic treatment significantly improved animal behaviour and survival. This beneficial clinical effect of senolytics was associated with reduced inflammation and increased survival of dopaminergic neurons. Indeed, inflammatory cytokines as part of the SASP can impair brain plasticity48, suggesting that the beneficial effects of senolytic treatment on COVID- 19 neurological clinical picture may result from suppression of senescence- dependent inflammation and improved neuronal survival. This is consistent with pre- clinical studies demonstrating a beneficial effect of senescent- cell clearance in reducing inflammatory/SASP gene expression in the brains of geriatric mice infected with a SARS- CoV- 2–related mouse \(\beta\) - coronavirus49. Whether our in vivo effects of senolytics on COVID- 19 neuropathology exclusively results from clearance of cellular senescence or also involves actions on dopaminergic neurons and other brain regions remains to be determined. Nevertheless, in this study we have provided important evidence that paves the way for future clinical studies that will test the hypothesis that senolytic therapies can suppress long- COVID neuropathology and other long- term disorders caused by acute neurotropic viral infections.
+
+<|ref|>sub_title<|/ref|><|det|>[[118, 750, 221, 769]]<|/det|>
+## Methods
+
+<|ref|>text<|/ref|><|det|>[[117, 780, 911, 898]]<|/det|>
+Ethics and biological safety. The use of animals was approved by the University of Queensland Animal Ethics Committee under project number 2021/AE001119. Mice were housed within the BSL- 3 facility using IsoCage N- Biocontainment System (Tecniplast, USA), where each cage was supplied with a HEPA filter, preventing viral contamination between cages. This IsoCage system also provides individual ventilation to the cages, maintaining the humidity under 65- 70% and
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 84, 909, 127]]<|/det|>
+temperature between 20–23 °C. Mice were kept under a 12- h light/dark cycle with food and water provided ad libitum.
+
+<|ref|>text<|/ref|><|det|>[[115, 133, 911, 496]]<|/det|>
+Pathogenic SARS- CoV- 2 variants and encephalitic flaviviruses were handled under a certified biosafety level- 3 (BSL- 3) conditions in the School of Chemistry and Molecular Biosciences (SCMB), Australian Institute for Bioengineering and Nanotechnology (AIBN) and Institute for Molecular Bioscience (IMB) at The University of Queensland, Australia. All approved researchers have used disposal Tychem 2000 coveralls (Dupont, Wilmington, NC, USA; #TC198T YL) at all times and used powered air- purifying respirators (PAPR; SR500 Fan Unit) or Versaflo- powered air- purifying respirators (3M, Saint Paul, MN, USA; #902- 03- 99) as respiratory protection. All pathogenic materials were handled in a class II biosafety cabinet within the BSL- 3 facility. For downstream analysis, all samples containing infectious viruses were appropriately inactivated in accordance with the BSL- 3 manual. Liquid and solid waste were steam- sterilised by autoclave. This study was approved by the Institutional Biosafety Committee from The University of Queensland (UQ) under the following approvals IBC/485B/SCMB/2021 and IBC/447B/SCMB/2021. The analysis of human brain sections was performed with the approval of the Ethic Committee of the University of Freiburg: 10008/09. The study was performed in agreement with the principles expressed in the Declaration of Helsinki (2013).
+
+<|ref|>text<|/ref|><|det|>[[113, 500, 911, 914]]<|/det|>
+Generation and culture of PSC- derived human brain organoids. Organoid generation was carried out as previously described50, with some modifications. Human H9 (WA09) pluripotent stem cells (hPSCs) were obtained from WiCell with verified normal karyotype and contamination- free; and were routinely tested and confirmed negative for mycoplasma (MycoAlert, Lonza). hPSCs were maintained in mTeSR media (STEMCELL Technologies, cat. #85850) on matrigel- coated plates (Corning, No. 354234). On day 0 of organoid differentiation, PSCs were dissociated with Accutase (Life Technologies, cat. #00- 4555- 56) and seeded at a density of 15,000 cells per well on a 96- well low- attachment U- bottom plate (Sigma, cat. #CLS7007) in mTeSR plus 10 μM ROCK inhibitor (VWR, cat. #688000- 5). The 96 well- plate was then spun at 330 g for 5 minutes to aggregate the cells and make spheroids. The spheroids were fed every day for 5 days in media containing Dulbecco’s modified eagle medium (DMEM)/F12 (Invitrogen, cat. #11330- 032), Knock- out serum (Invitrogen, cat. #11320- 033), 1:100 Glutamax, 1:200 MEM- NEAA supplemented with dual SMAD inhibitors: 2 μM Dorsomorphin (StemMACS, cat. #130- 104- 466) and 2 μM A- 83- 01 (Lonza, cat. #9094360). On day 6, half of the medium was changed to induction medium containing DMEM/F12, 1:200 MEM- NEAA, 1:100 Glutamax, 1:100 N2 supplement (Invitrogen, cat. #17502048), 1 μg ml- 1 heparin (Sigma, cat. # H3149) supplemented with 1 μM CHIR 99021 (Lonza, cat. #2520691) and 1 μM SB- 431542 (Sigma, cat. # S4317). From day 7,
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[113, 82, 910, 374]]<|/det|>
+complete media change was done with induction media followed by everyday media changes in induction media for the next 4 days. On day 11 of the protocol, spheroids were transferred to 10 \(\mu \mathrm{l}\) - droplets of Matrigel on a sheet of Parafilm with small 2 mm dimples. These droplets were allowed to gel at \(37^{\circ}\mathrm{C}\) for 25 minutes and were subsequently removed from the Parafilm and transferred to and maintained in low- attachment 24- well plates (Sigma, cat. #CLS3473) containing induction medium for the following 5 days. From day 16, the medium was then changed to organoid medium containing a 1:1 mixture of Neurobasal medium (Invitrogen, cat. #21103049) and DMEM/F12 medium supplemented with 1:200 MEM- NEAA, 1:100 Glutamax, 1:100 N2 supplement, 1:50 B27 supplement (Invitrogen, cat. #12587010), \(1\%\) penicillin- streptomycin (Sigma, cat. #P0781), \(50~\mu \mathrm{M}\) 2- mercaptoethanol and \(0.25\%\) insulin solution (Sigma, cat. #I9278). Media was changed every other day with organoid medium. Organoids were maintained in organoid media until the end of experiments, as indicated.
+
+<|ref|>text<|/ref|><|det|>[[115, 378, 910, 495]]<|/det|>
+Human tissue preparation: frontal cortex tissue from patients that had tested positive for SARS- CoV- 2 and died from severe COVID- 19 was obtained at the University Medical Center Freiburg, Germany. The tissue was formalin- fixed and embedded into paraffin (FFPE) using a Tissue Processing Center (Leica ASP300, Leica). Sections (3 \(\mu \mathrm{m}\) thick) were cut and mounted onto Superfrost objective slides (Langenbrinck).
+
+<|ref|>text<|/ref|><|det|>[[115, 500, 911, 791]]<|/det|>
+Cell lines. RNA Vero E6 cells (African green monkey kidney cell clones) and TMPRSS2- expressing Vero E6 cell lines were maintained in Dulbecco's Modified Eagle Medium (DMEM, Gibco, USA) at \(37^{\circ}\mathrm{C}\) with \(5\%\) CO2. Additionally, as previously described, the TMPRSS2- expressing Vero E6 cell line was supplemented with \(30~\mu \mathrm{g / mL}\) of puromycin51. C6/36 cells, derived from the salivary gland of the mosquito A. albopictus were grown at \(28^{\circ}\mathrm{C}\) in Royal Park Memorial Institute (RPMI) medium (Gibco, USA). All cell lines media were supplemented with \(10\%\) heat- inactivated foetal calf serum (FCS) (Bovogen, USA), penicillin (100 U/mL) and streptomycin (100 \(\mu \mathrm{g / mL}\) ) (P/S). C6/36 media was also supplemented with \(1\%\) GlutaMAX (200 mM; Gibco, USA) and \(20~\mathrm{mM}\) of HEPES (Gibco, USA). All cell lines used in this study were tested mycoplasma free by first culturing the cells for 3- 5 days in antibiotic- free media and then subjected to a mycoplasma tested using MycoAlert™ PLUS Mycoplasma Detection Kit (Lonza, UK).
+
+<|ref|>text<|/ref|><|det|>[[115, 796, 910, 914]]<|/det|>
+Viral isolates. Seven SARS- CoV- 2 variants were used in this study. \(i\) ) Ancestral or Wuhan strain: an early Australian isolate hCoV- 19/Australia/QLD02/2020 (QLD02) sampled on 30/01/2020 (GISAID Accession ID; EPI_ISL_407896); \(ii\) ) Alpha (B.1.1.7) named as hCoV- 19/Australia/QLD1517/2021 and collected on 06/01/2021 (GISAID accession ID EPI_ISL_944644); \(iii\) ) Beta (B.1.351), hCoV19/Australia/QLD1520/2020, collected on
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 78, 911, 902]]<|/det|>
+29/12/2020 (GISAID accession ID EPI_ISL_968081); iv) Delta (B.1.617), hCoV- 19/Australia/QLD1893C/2021 collected on 05/04/2021 (GISAID accession ID EPI_ISL_2433928); v) Gamma (P.1), hCoV- 19/Australia/NSW4318/2021 sampled on 01- 03- 2021 (GISAID accession ID EPI_ISL_1121976); vi) Lambda (C.37), hCoV- 19/Australia/NSW4431/2021 collected on 03- 04- 2021 (GISAID accession ID EPI_ISL_1494722); and vii) Omicron (BA.1), hCoV- 19/Australia/NSW-RPAH- 1933/2021 collected on 27- 11- 2021 (GISAID accession ID EPI_ISL_6814922). All viral isolates obtained were passaged twice except for Gamma and Lambda variants, which were passed thrice. Viral stocks were generated on TMPRSS2- expressing Vero E6 cells to ensure no spike furin cleavage site loss. To authenticate SARS- CoV- 2 isolates used in the study viral RNA was extracted from stocks using TRIzol LS reagent (Thermo Fisher Scientific, USA) and cDNA was prepared with Protoscript II first- strand cDNA synthesis kit as per manufacturer's protocol (New England Biolabs, USA). The full- length Spike glycoprotein was subsequently amplified with Prime Star GXL DNA polymerase (Takara Bio) and the following primers CoV- SF GATAAAGGAGTTGCACCAGGTACAGCTGTTTTAAG CoV- SR GTCGTCGTCGGTTCATCATAAATTGGTTCC and conditions as per previously described51. For encephalitic flaviviruses, virulent strains of Zika virus (ZIKV, Natal [GenBank: KU527068.1]), Japanese encephalitis virus (JEV, Nakayama strain [GenBank: EF571853.1]) and Rocio virus (ROCV, [GenBank: AY632542.4]) were propagated on C6/36 to generate a viral stock for all the experiments. Viral titres were determined by an immuno- plaque assay52. RNA isolation. RNA from brain organoids and mouse tissue was extracted with RNeasy Mini Kit (Qiagen) for mRNA detection, according to the manufacturer's instructions. Mouse tissue was homogenised with a TissueLyser II (Qiagen) at 30 Hz for 60 seconds. RNA integrity of brain organoids and mouse tissue was evaluated by analysis on the 2100 Bioanalyzer RNA 6000 Pico Chip kit (Agilent) using the RNA Integrity Number (RIN). RNA samples with a RIN > 7 were considered of high enough quality for real- time quantitative PCR, and transcriptomic library construction and RNA sequencing according to the manufacturer's instructions. Real- time quantitative PCR. 1 \(\mu \mathrm{g}\) of total RNA was reverse transcribed using iScript cDNA Synthesis Kit (Bio- Rad). A volume corresponding to 5 ng of initial RNA was employed for each real- time PCR reaction using PowerUp SYBR Green Master Mix (Applied Biosystems) on a CFX Opus Real- Time PCR detection system. Ribosomal protein P0 (RPLP0) were used as control transcripts for normalization. Primers sequences (5'- 3' orientation) are listed in Supplementary Table 1.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 83, 910, 176]]<|/det|>
+Viral infection of organoids. Brain organoids in low- adhesion plates were infected overnight (14 hours) with the indicated flaviviruses and SARS- CoV- 2 variants at multiplicity of infection (MOI) 0.1 and 1, respectively. Then, brain organoids were thrice washed with LPS- free PBS and added maintenance media and kept for 5 days post- infection.
+
+<|ref|>text<|/ref|><|det|>[[115, 181, 910, 323]]<|/det|>
+Senolytic treatments in vitro. For infection experiments, 5 days after viral exposure brain organoids were treated with a single dose of navitoclax (2.5 \(\mu \mathrm{M}\) ), ABT- 737 (10 \(\mu \mathrm{M}\) ) or D+Q (D: 10 \(\mu \mathrm{M}\) ; Q: 25 \(\mu \mathrm{M}\) ) and monitored for 5 days following treatment. As for senolytic interventions on physiologically aged 8- month- old organoids, brain organoids were treated with a weekly dose of navitoclax (2.5 \(\mu \mathrm{M}\) ), ABT- 737 (10 \(\mu \mathrm{M}\) ) or D+Q (D: 10 \(\mu \mathrm{M}\) ; Q: 25 \(\mu \mathrm{M}\) ) for 4 weeks and subsequently collected for downstream analysis.
+
+<|ref|>text<|/ref|><|det|>[[115, 328, 911, 716]]<|/det|>
+SARS- CoV- 2- driven COVID- 19 animal experiments. In vivo experiments were performed using 6- week- old K18- hACE2 transgenic female mice obtained from the Animal Resources Centre (Australia). For animal infections, SARS- CoV- 2 was delivered intranasally — 20 \(\mu \mathrm{l}\) of the Delta variant at \(5 \times 10^{3}\) FFU per mouse — on anesthetized mice (100 mg \(\mathrm{kg}^{- 1}\) ketamine and 10 mg \(\mathrm{kg}^{- 1}\) xylazine). Control animals were mock- infected with the same volume of RPMI additive- free medium. One day after infection, K18- hACE2 mice were randomly distributed into three treatment groups (n = 16 each) and one solvent- only control group (n = 16). From 1 day after infection, randomly chosen animals were treated via oral gavage routes with navitoclax (100 mg \(\mathrm{kg}^{- 1}\) ), D+Q (D: 5 mg \(\mathrm{kg}^{- 1}\) ; Q: 50 mg \(\mathrm{kg}^{- 1}\) ) or fisetin (100 mg \(\mathrm{kg}^{- 1}\) ) dissolved in 5% DMSO and 95% corn oil every other day. For tissue characterization (n = 8 for each infected group), on day 6 after infection animals were euthanised and brain specimens were collected for RNA expression analysis and histopathological assessment. For clinical and survival evaluation, mice were monitored daily for up to 12 days post infection. Clinical scoring included: no detectable disease (0); hindlimb weakness, away from littermates, ruffled fur (0.5- 1); partial hindlimb paralysis, limping, hunched, reluctant to move (1.5- 2); and complete paralysis of hindlimb, severely restricted mobility, severe distress, or death (2.5- 3).
+
+<|ref|>text<|/ref|><|det|>[[115, 722, 911, 913]]<|/det|>
+Organoid sectioning and histology. Brain organoids were fixed in 4% paraformaldehyde (PFA) for 1 hour at RT and washed with phosphate- buffered saline (PBS) three times for 10 minutes each at RT before allowing to sink in 30% sucrose at \(4^{\circ}\mathrm{C}\) overnight and then embedded in OCT (Agar Scientific, cat. #AGR1180) and cryosectioned at 14 \(\mu \mathrm{m}\) with a Thermo Scientific NX70 Cryostat. Tissue sections were used for immunofluorescence and for the SA- \(\beta\) - Gal assay. For immunofluorescence, sections were blocked and permeabilized in 0.1% Triton X- 100 and 3% Bovine Serum Albumin (BSA) in PBS. Sections were incubated with primary antibodies overnight at \(4^{\circ}\mathrm{C}\) , washed and incubated with secondary antibodies for 40 minutes at RT. 0.5 \(\mu \mathrm{g}\) ml- 1 DAPI
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 83, 910, 176]]<|/det|>
+(Sigma, cat. #D9564) was added to secondary antibody to mark nuclei. Secondary antibodies labelled with Alexafluor 488, 568, or 647 (Invitrogen) were used for detection. SA- \(\beta\) - gal activity at pH 6.0 as a senescence marker in fresh or cryopreserved human samples was assessed as previously described \(^{53}\) .
+
+<|ref|>text<|/ref|><|det|>[[115, 183, 910, 398]]<|/det|>
+Nanostring spatial transcriptomics. OCT- embedded organoids were freshly sectioned and prepared according to the GeoMX Human Whole Transcriptome Atlas Assay slide preparation for RNA profiling (NanoString). Fastq files were uploaded to GeoMX DSP system where raw and Q3 normalized counts of all targets were aligned with ROIs. The 0.75 quantile- scaled data was used as input. DESeq2 R package \(^{54}\) was used to identify differently expressed genes in the ROI cell subsets. DESeq2 was performed between the pairwise comparisons of interest and genes were corrected using the Benjamini & Hochberg correction and only genes that had a corrected P- value of \(< 0.05\) were retained. Cell abundances were estimated using the SpatialDecon R library, which performs mixture deconvolution using constrained log- normal regression.
+
+<|ref|>text<|/ref|><|det|>[[115, 403, 911, 667]]<|/det|>
+Whole organoid RNA sequencing. Before mRNA sequencing, ribosomal RNA from bulk organoid RNA was depleted with the Ribo- Zero rRNA Removal Kit (Illumina). Transcripts were sequenced at Novogene Ltd (Hong Kong) using TruSeq stranded total RNA library preparation and Illumina NovaSeq 150bp paired- end lane. FastQC was used to check quality on the raw sequences before analysis to confirm data integrity. Trimmed reads were mapped to the human genome assembly hg38 using Hisat2 v2.0.5. To ensure high quality of the count table, the raw count table generated by featureCounts v1.5.0- p3 was filtered for subsequent analysis. Differential gene expression analysis was performed using Bioconductor DESeq2 R packages. The resulting P- values were adjusted using the Benjamini and Hochberg's approach for controlling the false discovery rate. Genes with an adjusted P- value \(< 0.05\) found by DESeq2 were assigned as differentially expressed.
+
+<|ref|>text<|/ref|><|det|>[[115, 673, 911, 914]]<|/det|>
+Association with gene expression signatures of aging and longevity. To assess the effect of senolytics on transcriptomic age of BO samples, we applied brain multi- species (mouse, rat, human) transcriptomic clock based on signatures of aging identified as explained in \(^{55}\) . The missing values were omitted with the precalculated average values from the clock. Association of gene expression log- fold changes induced by senolytics in aged BO with previously established transcriptomic signatures of aging and established lifespan- extending interventions was examined as described in \(^{55}\) . Utilized signatures of aging included multi- species brain signature as well as multi- tissue aging signatures of mouse, rat and human. Signatures of lifespan- extending interventions included genes differentially expressed in mouse tissues in response to individual interventions, including caloric restriction (CR), rapamycin (Rapamycin), and mutations
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 83, 910, 150]]<|/det|>
+associated with growth hormone deficiency (GH deficiency), along with common patterns of lifespan- extending interventions (Common) and ECs associated with the intervention effect on mouse maximum (Max lifespan) and median lifespan (Median lifespan).
+
+<|ref|>text<|/ref|><|det|>[[115, 156, 910, 224]]<|/det|>
+For the identification of enriched functions affected by senolytics in aged BO we performed functional GSEA56 on a pre- ranked list of genes based on log10(p- value) corrected by the sign of regulation, calculated as:
+
+<|ref|>equation<|/ref|><|det|>[[446, 232, 576, 250]]<|/det|>
+\[- (p v)\times s g n(f c),\]
+
+<|ref|>text<|/ref|><|det|>[[115, 255, 910, 397]]<|/det|>
+where pv and lfc are p- value and logFC of a certain gene, respectively, obtained from edgeR output, and sgn is the signum function (equal to 1, - 1 and 0 if value is positive, negative or equal to 0, respectively). HALLMARK ontology from the Molecular Signature Database was used as gene sets for GSEA. The GSEA algorithm was performed separately for each senolytic via the fgsea package in R with 5,000 permutations. A q- value cutoff of 0.1 was used to select statistically significant functions.
+
+<|ref|>text<|/ref|><|det|>[[115, 403, 910, 545]]<|/det|>
+Similar analysis was performed for gene expression signatures of aging and lifespan- extending interventions. Pairwise Spearman correlation was calculated for individual signatures of senolytics, aging and lifespan- extending interventions based on estimated NES (Fig. 2g). A heatmap colored by NES was built for manually chosen statistically significant functions (adjusted p- value \(< 0.1\) ) (Supplementary Fig. 1a). Complete list of functions enriched by genes perturbed by senolytics is included in the source data file.
+
+<|ref|>text<|/ref|><|det|>[[115, 551, 910, 690]]<|/det|>
+Imaging and analysis. Immunofluorescence images were acquired using a Zeiss LSM 900 Fast Airyscan 2 super- resolution microscope or a Zeiss AxioScan Z1 Fluorescent Imager. For organoid staining, the number of positive cells per organoid for senescence, cell type and viral markers tested was analysed by the imaging software CellProfiler, using the same pipeline for each sample in the same experiment. Custom Matlab scripts were developed to streamline high throughput imaging data.
+
+<|ref|>text<|/ref|><|det|>[[115, 697, 910, 889]]<|/det|>
+Antibodies. anti- p16 (Cell Signalling, 80772, 1:400); anti- NeuN (Millipore, ABN78, 1:1000); anti- GFAP (Agilent, Z0334, 1:2000); anti- Sox2 (Cell Signalling, 23064, 1:1000); anti- SARS- CoV- 2 Nucleocapsid C257; anti- SARS- CoV- 2 spike protein58; anti- \(\gamma\) H2AX (Millipore, 05- 636, 1:1000); anti- Tyrosine Hydroxylase (Invitrogen, PA5- 85167, 1:1000); anti- lamin B1 (Abcam, ab16048, 1:5000); anti- Chicken IgG (Jackson ImmunoResearch, 703- 545- 155, 1:500); anti- rabbit IgG (Invitrogen, A10042, 1:400); anti- rabbit IgG (Invitrogen, A21245, 1:400); anti- mouse IgG (Invitrogen, A11029, 1:400); anti- mouse IgG (Invitrogen, A21235, 1:400); anti- human IgG (Invitrogen, A21445, 1:400).
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 83, 910, 176]]<|/det|>
+Statistical analysis. Results are shown as mean \(\pm\) standard error of the mean (s.e.m.) or standard deviation (s.d.) as indicated. No statistical methods were used to predetermine sample size. P value was calculated by the indicated statistical tests, using R or Prism software. In figure legends, n indicates the number of independent experiments or biological replicates.
+
+<|ref|>sub_title<|/ref|><|det|>[[118, 183, 355, 205]]<|/det|>
+## Competing Interests
+
+<|ref|>text<|/ref|><|det|>[[118, 219, 472, 236]]<|/det|>
+The authors declare no competing interests.
+
+<|ref|>sub_title<|/ref|><|det|>[[118, 250, 311, 271]]<|/det|>
+## Data availability
+
+<|ref|>text<|/ref|><|det|>[[118, 284, 910, 353]]<|/det|>
+RNA- seq raw data have been deposited in the European Nucleotide Archive with the primary accession code PRJEB58180. RNA- seq files from Mavrikaki et al. are available through the Gene Expression Omnibus accession number GSE188847. Source data are provided with this paper.
+
+<|ref|>sub_title<|/ref|><|det|>[[118, 375, 344, 396]]<|/det|>
+## Acknowledgements
+
+<|ref|>text<|/ref|><|det|>[[115, 404, 911, 894]]<|/det|>
+We thank Novogene for performing bulk RNA sequencing experiments and bioinformatic analysis; Aaron McClelland from NanoString (Seattle, USA) for technical and computational assistance on GeoMx spatial transcriptomic sequencing; the scientists and pathologists of Queensland and New South Wales Department of Health, and Kirby Institute for providing the SARS- CoV- 2 variants; Maya Patrick and Barb Arnts (UQBR animal staff) at the AIBN and Crystal McGirr (BSL- 3 facility manager at the IMB) for technical assistance; Robert Sullivan from the Queensland Brain Institute for technical advice; Jasmyn Cridland (Regulatory Compliance Officer, Faculty of Science at UQ) and Amanda Jones (UQ Biosafety) for advice on Biosafety approvals and BSL- 3 manual and safety procedures; Shaun Walters, David Knight and Erica Mu from the School of Biomedical Sciences Imaging and Histology facilities (The University of Queensland) for technical support; and EW, JM and DW laboratory members for discussions. MS was supported by the Berta- Ottenstein- Programme for Clinician Scientists, Faculty of Medicine, University of Freiburg, and the IMM- PACT- Programme for Clinician Scientists, Department of Medicine II, Medical Center – University of Freiburg and Faculty of Medicine, University of Freiburg, funded by the Deutsche Forschungsgemeinschaft (DFG, German Research Foundation) – 413517907. TW was supported by the NHMRC (2009957). EW was supported by the NHMRC and an ARC Discovery Project (DP210103401). JA was supported by a University of Queensland Early Career Researcher Grant (application UQECR2058457), a National Health and Medical Research Council (NHMRC) Ideas Grant (2001408), a Brisbane Children's Hospital Foundation grant (Project- 50308) and a Jérôme Lejeune Postdoctoral Fellowship.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[67, 85, 283, 107]]<|/det|>
+## Contributions
+
+<|ref|>text<|/ref|><|det|>[[66, 115, 911, 259]]<|/det|>
+ContributionsJA and HC generated human brain organoids. JA, HC, AT, ATF, MD, MS, AA, GP, EA, NM, BL, AI, DP, IJ, AB, MF, RP, JS, CG, TW, JM and EW contributed to acquisition, analysis, or interpretation of data. AAA, EA, NM and BL participated in the infections and treatments of mice and monitored their clinical performance. JA, ATF and AT analysed transcriptomic data. JA, AA, AF, EA, JM and EW contributed to experimental design. JA planned and supervised the project and wrote the paper. All authors edited and approved the final version of this article.
+
+<|ref|>sub_title<|/ref|><|det|>[[67, 266, 247, 287]]<|/det|>
+## References
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+738 53 Aguado, J. et al. Inhibition of DNA damage response at telomeres improves the detrimental 739 phenotypes of Hutchinson-Gilford Progeria Syndrome. Nat Commun 10, 4990 (2019). 740 https://doi.org:10.1038/s41467-019-13018-3 741 54 Love, M. I., Huber, W. & Anders, S. Moderated estimation of fold change and dispersion 742 for RNA-seq data with DESeq2. Genome Biol 15, 550 (2014). 743 https://doi.org:10.1186/s13059-014-0550-8 744 55 Tyshkovskiy, A. et al. Identification and Application of Gene Expression Signatures 745 Associated with Lifespan Extension. Cell Metab 30, 573-593 e578 (2019). 746 https://doi.org:10.1016/j.cmet.2019.06.018 747 56 Subramanian, A. et al. Gene set enrichment analysis: a knowledge-based approach for 748 interpreting genome-wide expression profiles. Proc Natl Acad Sci U S A 102, 15545-15550 749 (2005). https://doi.org:10.1073/pnas.0506580102 750 57 Isaacs, A. et al. Nucleocapsid Specific Diagnostics for the Detection of Divergent SARS- 751 CoV- 2 Variants. Front Immunol 13, 926262 (2022). 752 https://doi.org:10.3389/fimmu.2022.926262 753 58 Valenzuela Nieto, G. et al. Potent neutralization of clinical isolates of SARS-CoV- 2 D614 754 and G614 variants by a monomeric, sub-nanomolar affinity nanobody. Sci Rep 11, 3318 755 (2021). https://doi.org:10.1038/s41598-021-82833-w
+
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+<|ref|>sub_title<|/ref|><|det|>[[118, 85, 290, 108]]<|/det|>
+## Figure legends
+
+<|ref|>text<|/ref|><|det|>[[115, 115, 911, 405]]<|/det|>
+Figure 1 Long- term senolytic treatment prevents selective accumulation of senescent cells in physiologically aged human brain organoids. Brain organoids were generated and grown in vitro for 8 months, and subsequently exposed to two doses (each dose every two weeks) of either navitoclax (2.5 \(\mu \mathrm{M}\) ), ABT- 737 (10 \(\mu \mathrm{M}\) ) or \(\mathrm{D + Q}\) (D: \(10~\mu \mathrm{M}\) ; Q: \(25~\mu \mathrm{M}\) ) administration within the following month, after which the organoids were collected for in situ analysis. (a) SA- \(\beta\) - gal assays were performed on organoid sections. Each data point in the bar graph represents a single organoid analysed. Error bars represent s.d.; at least 8 individual organoids were analysed per condition; one- way ANOVA with Tukey's multiple- comparison post- hoc corrections. (b) Lamin B1 staining was performed on organoid sections. Each data point in the scatter plot represents the integrated intensity of each cell within organoid sections. At least 8 individual organoids were analysed per condition; one- way ANOVA with Tukey's multiple- comparison post- hoc corrections. (c,d) Representative images from quantifications shown in a and b, respectively. Scale bar, \(0.3\mathrm{mm}\) .
+
+<|ref|>text<|/ref|><|det|>[[115, 409, 911, 848]]<|/det|>
+Figure 2 Transcriptomic characterization of distinct senolytic interventions on brain aging hallmarks. Brain organoids were generated and grown in vitro for 8 months, and subsequently exposed to two doses (each dose every two weeks) of either navitoclax (2.5 \(\mu \mathrm{M}\) ), ABT- 737 (10 \(\mu \mathrm{M}\) ) or \(\mathrm{D + Q}\) (D: \(10~\mu \mathrm{M}\) ; Q: \(25~\mu \mathrm{M}\) ) administration within the following month, after which the organoids were collected and subjected for bulk RNA sequencing analysis. (a- c) Volcano plots show vehicle- treated versus (a) navitoclax- , (b) ABT- 737- and (c) \(\mathrm{D + Q}\) - treated brain organoid differential expression of upregulated (blue) and downregulated (red) genes. (d) Venn diagram shows differentially repressed senescence- associated genes among senolytic- treated organoids defined with a significance adjusted P value \(< 0.05\) . (e) Gene Set Enrichment Analysis was carried out using aging hallmark gene sets from the Molecular Signature Database. The statistically significant signatures were selected (FDR \(< 0.25\) ) and placed in order of normalized enrichment score. Bars indicate the pathways enriched in individual senolytic treatments as compared to vehicle- treated brain organoids. (f) Transcriptomic age of organoids treated with either vehicle or senolytic compounds assessed using brain multi- species aging clock. (g) Spearman correlation between gene expression changes induced by senolytics in aged organoids and signatures of aging and established lifespan- extending interventions based on functional enrichment output. Normalized enrichment scores (NES) calculated with GSEA were used to evaluate correlations between pairs of signatures.
+
+<|ref|>text<|/ref|><|det|>[[115, 853, 909, 897]]<|/det|>
+Figure 3 Brains of COVID- 19 patients exhibit increased accumulation of p16 senescent cells. (a) Immunofluorescence images showing DAPI (blue), and p16 (red) immunoreactivity in sections
+
+<--- Page Split --->
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+of frontal cortex regions from patients with severe COVID- 19 and age- matched non- COVID- related controls. Scale bar, \(50 \mu \mathrm{m}\) . (b) Box plots show the percentage of p16- positive cells. Each data point in the graph represents a single patient analysed, with a total of 2,794,379 individual brain cells across 7 COVID- 19 and 8 non- COVID- 19 patients. Whiskers represent min- max values; two- tailed Student's t- test.
+
+<|ref|>text<|/ref|><|det|>[[111, 201, 911, 917]]<|/det|>
+Figure 4 Neurotropic viral infections elicit virus- induced senescence in human brain organoids. (a) SARS- CoV- 2 variant screening was performed on brain organoids at multiplicity of infection 1 and monitored for SA- \(\beta\) - gal activity at 5 days post infection. Scale bar, \(0.3 \mathrm{mm}\) . (b) Quantification of data presented in a. Bar graphs show the percentage of SA- \(\beta\) - gal- positive cells. Each data point in the bar graph represents a single organoid analysed. Error bars represent s.d.; at least 5 individual organoids were analysed per variant- infected condition; one- way ANOVA with Dunnett's multiple- comparison post- hoc corrections. (c) Representative images of serially sectioned Delta- infected organoid regions stained for SA- \(\beta\) - gal and SARS- CoV- 2 spike protein. (d) Representative images of the region shown in c. co- immunolabelled with p16 and SARS- CoV- 2 nucleocapsid (NC) antigen. (e) Organoids infected for 5 days with the indicated SARS- CoV- 2 variants were stained for \(\gamma \mathrm{H2AX}\) and SARS- CoV- 2 Spike protein. Scale bar, \(40 \mu \mathrm{m}\) . (f) Quantification of data presented in e. Scatter plot show the number of \(\gamma \mathrm{H2AX}\) foci per cell in infected regions (red) versus uninfected counterparts (black). Each data point in the scatter plot represents a single cell analysed; at least 400 cells per variant- infected condition have been analysed; two- tailed Student's t- test. (g) Human brain organoids were infected with the neurotropic flaviviruses Japanese Encephalitis virus (JEV), Rocio virus (ROCV) and Zika virus (ZIKV) at multiplicity of infection 0.1; and monitored SA- \(\beta\) - gal activity 5 days post infection. Box plots show the percentage of SA- \(\beta\) - gal- positive cells. Each data point represents a single organoid analysed. Whiskers represent min- max values; at least 5 individual organoids were analysed per virus- infected condition; one- way ANOVA with multiple- comparison post- hoc corrections. (h- k) Uninfected, Wuhan- and Delta- infected human brain organoids where subjected to Regions of Interest (ROI) selection based on p16 protein expression for spatial profiling by the Nanostring GeoMX digital spatial profiler assay and further sequenced for the GeoMx Human Whole Transcriptome Atlas. Three organoids were used per condition for ROI selection. (h) Representative p16- positive ROIs. (i) Heat map of polarity with shown expression above (blue) and below (red) the mean for each differentially heightened SASP gene of Delta- infected p16- positive ROIs. (j) Senescence heat map gene expression signature of Delta- infected p16- positive cells. (k) Box plots show the expression enrichment of SARS- CoV- 2 genes (Spike, ORF1ab) for each SARS- CoV- 2 variant. Each data point in the box plot represents a normalized fold change
+
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+value of SARS- CoV- 2 genes on p16- positive ROIs relative to p16- negative counterparts (depicted by a grid line). Whiskers represent min- max values; at least \(\mathrm{n} = 3\) p16- positive ROIs were analysed per condition; two- tailed Student's t test.
+
+<|ref|>text<|/ref|><|det|>[[115, 156, 911, 670]]<|/det|>
+Figure 5 Senolytics clear virus- induced senescence in specific neuronal subtypes. (a) Schematic representation of experimental design that applies to b- e. Human brain organoids were SARS- CoV- 2- infected at multiplicity of infection 1 for 5 days and subsequently exposed to the indicated senolytic treatments for 5 additional days. Analysis was performed at the end time point of the 10- day experiment. (b) SA- \(\beta\) - gal activity was evaluated at 10 days post infection. Bar graphs show the percentage of SA- \(\beta\) - gal- positive cells. Each data point in the bar graph represents a single organoid section analysed. Error bars represent s.d.; at least 5 individual organoids were analysed per variant- infected condition; one- way ANOVA with multiple- comparison post- hoc corrections. Scale bar, \(0.3\mathrm{mm}\) . (c) Total RNA from individual organoids uninfected or infected with the SARS- CoV- 2 Delta variant was used to quantify the RNA expression levels of the indicated viral genes and normalized to RPLP0 mRNA and compared to infected vehicle controls. Error bars represent s.e.m.; \(\mathrm{n} = 3\) independent organoids; one- way ANOVA with multiple- comparison post- hoc corrections; nd: not detected. (d) Stacked bars show NanoString GeoMx deconvolved p16- positive ROI cell abundance using constrained log- normal regression from organoids uninfected or infected with the SARS- CoV- 2 Delta variant. L4/5/6 IT Car3: Glutamatergic neurons; L5 ET: Cortical layer 5 pyramidal neurons; L6CT L6b: Corticothalamic (CT) pyramidal neurons in layer 6; CGE: GABAergic ganglionic eminence neurons; EC: Endothelial cells; VLMC: vascular and leptomeningeal cells. (e) Bar graphs show the percentage of deconvolved p16- positive neuronal populations significantly modulated upon SARS- CoV- 2 Delta variant infection and subsequent senolytic interventions. \(\mathrm{n} = 3\) independent ROIs per condition tested; \(* \mathrm{P} < 0.05\) ; one- way ANOVA with multiple- comparison post- hoc corrections.
+
+<|ref|>text<|/ref|><|det|>[[115, 675, 911, 914]]<|/det|>
+Figure 6 Senolytic treatments mitigate COVID- 19 brain pathology in vivo. (a) Schematic representation of experimental design that applies to b- h. K18- hACE2 transgenic mice were exposed to Delta variant infections on day 0 and subsequently treated with the indicated senolytics every other day starting on day 1. Two mouse cohorts were randomly allocated for scheduled euthanasia on day 5 for brain tissue characterisation as well as end time point experiments to monitor clinical score and survival. (b) Kaplan–Meier curve of uninfected mice ( \(\mathrm{n} = 3\) ), and SARS- CoV- 2- infected mice treated with vehicle ( \(\mathrm{n} = 6\) ), fisetin ( \(\mathrm{n} = 9\) ), D+Q ( \(\mathrm{n} = 8\) ), or navitoclax ( \(\mathrm{n} = 8\) ). \(* \mathrm{P} = 0.032\) for vehicle vs fisetin curve comparison; # \(\mathrm{P} = 0.0087\) for vehicle vs D+Q curve comparison; Kaplan–Meier survival analysis. (c) Graph shows the average combined behavioural and physical clinical score over time of uninfected mice ( \(\mathrm{n} = 3\) ), and SARS- CoV- 2- infected mice
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+treated with vehicle \(\mathrm{(n = 6)}\) , fisetin \(\mathrm{(n = 8)}\) , \(\mathrm{D + Q}\) \(\mathrm{(n = 8)}\) , or navitoclax \(\mathrm{(n = 8)}\) . Error bars represent s.e.m.; color- coded \(^{*}\mathrm{P}< 0.05\) for comparisons between vehicle and each color- coded senolytic treatment; one- way ANOVA with multiple- comparison post- hoc corrections for every timepoint tested. (d) Total RNA of individual brains from mice uninfected or infected with the SARS- CoV- 2 Delta variant and treated with various senolytic interventions was used to quantify the RNA expression levels of the indicated viral genes and was normalized to \(Rplp0\) mRNA and compared to infected vehicle controls. Error bars represent s.e.m.; \(\mathrm{n} = 8\) mouse brains per condition; one- way ANOVA with multiple- comparison post- hoc corrections; nd: not detected. (e) Total RNA of individual brains from mice uninfected or infected with the SARS- CoV- 2 Delta variant and treated with various senolytic interventions was used to quantify the mRNA expression levels of the indicated senescence and SASP genes and was normalized to \(Rplp0\) mRNA. Each column in the heatmap represents an individual mouse brain analysed. (f) Representative immunofluorescent images of brainstem regions of coronal brain sections from uninfected or infected mice with the SARS- CoV- 2 Delta variant and treated with the indicated senolytics. Samples were immunolabelled with antibodies against TH (red; scale bar, \(100\mu \mathrm{m}\) ) and GFAP (green; scale bar, \(50\mu \mathrm{m}\) ). (g) Quantification of the TH data presented in f. Bar graph shows the intensity of tyrosine hydrolase (TH) staining within the brainstem. Each data point in the bar graph represents a single brain section analysed. Error bars represent s.d.; \(***\mathrm{P}< 0.0001\) ; 3 brains per condition were analysed; one- way ANOVA with multiple- comparison post- hoc corrections. (h) Quantification of the GFAP data presented in f. Dot plot shows the intensity of GFAP per cell within the brainstem. Each data point in the dot blot represents a single cell analysed. \(***\mathrm{P}< 0.0001\) ; 3 brains per condition were analysed; one- way ANOVA with multiple- comparison post- hoc corrections.
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+## Supplementary Figure legends
+
+<|ref|>text<|/ref|><|det|>[[115, 116, 911, 332]]<|/det|>
+Supplementary Figure 1. (a) Schematic representation of experimental design that applies to Fig. 1,2 and to Supplementary Fig. 1b- c. 8- month- old human brain organoids were exposed to two doses of the senolytic treatments navitoclax (2.5 \(\mu \mathrm{M}\) ), ABT- 737 (10 \(\mu \mathrm{M}\) ) or D+Q (D: 10 \(\mu \mathrm{M}\) ; Q: 25 \(\mu \mathrm{M}\) ): the first one on day 1 and the second dose on day 16. Analysis was performed at the end time point of the 1- month experiment as well as at initial timepoint of 8 months organoid culture. (b) Heat map shows senescence- associated RNA transcriptomic expression of downregulated genes shared across all three senolytic interventions. (c) Functional enrichment analyses of gene expression signatures and multiple senolytic treatment of brain organoids. Heat map cells are coloured based on the normalized enrichment score (NES).
+
+<|ref|>text<|/ref|><|det|>[[115, 338, 911, 429]]<|/det|>
+Supplementary Figure 2. (a) Representative images of neural progenitors (Sox2), neurons (NeuN), or astrocytes (GFAP) co- stained with SARS- CoV- 2 nucleocapsid protein. Human brain organoids were 3 month- old at time of infection with the indicated SARS- CoV- 2 variants at multiplicity of infection 1. (e) Stacked bar graphs shoe quantifications from d.
+
+<|ref|>text<|/ref|><|det|>[[115, 434, 911, 774]]<|/det|>
+Supplementary Figure 3. (a) Venn diagram on the left shows 485 differentially expressed genes shared across SARS- CoV- 2- infected organoids and postmortem brains of COVID- 19 patients defined with a significance adjusted P value \(< 0.05\) . On the right panel, bar graph indicates the pathways enriched within this 485- gene cohort. Gene Set Enrichment Analysis was carried out using aging hallmark gene sets from the Molecular Signature Database. The statistically significant signatures were selected (FDR \(< 0.25\) ). (b) Volcano plots show uninfected versus either Wuhan or Delta- infected brain organoid differential expression of upregulated (blue) and downregulated (red) genes. DEG analysis was performed from whole- organoid RNA- seq data and p16- positive senescent- cell regions of interest (ROIs) from NanoString spatial transcriptomic sequencing. (c) Bar graph shows quantifications of nucleocapsid- positive cells from brain organoids infected with the indicated SARS- CoV- 2 variants and analysed at 5 days post infection. Each data point in the bar graph represents a single organoid section analysed. Error bars represent s.d.; at least 7 individual organoids were analysed per variant- infected condition; one- way ANOVA with multiple- comparison post- hoc corrections.
+
+<|ref|>text<|/ref|><|det|>[[115, 780, 911, 898]]<|/det|>
+Supplementary Figure 4. (a) Principal component analysis from NanoString spatial transcriptomic sequencing of p16- positive cells in the subspace defined by these differential genes showing clustering of uninfected and Wuhan- infected human brain organoids away from the Delta- infected counterparts. (b) Total RNA from individual organoids uninfected or infected with the SARS- CoV- 2 Delta variant was used to quantify Lamin B1 mRNA expression levels and
+
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+normalized to RPLP0 mRNA and compared to infected vehicle controls. Error bars represent s.d.; \(\mathrm{n} = 3\) independent organoids; one- way ANOVA with multiple- comparison post- hoc corrections. Supplementary Figure 5. (a) Representative immunofluorescent images of viral nucleocapsid (NC) antigen in whole brain coronal sections of brains from SARS- CoV- 2- infected K18- hACE2 transgenic mice (5 days post infection). CTX: Cerebral cortex; BS: Brainstem. (b) Percentage weight loss up to 7 days post infection. Uninfected mice \((\mathrm{n} = 3)\) , and Delta SARS- CoV- 2- infected mice treated with vehicle \((\mathrm{n} = 6)\) , fisetin \((\mathrm{n} = 8)\) , \(\mathrm{D} + \mathrm{Q}\) \((\mathrm{n} = 8)\) , or navitoclax \((\mathrm{n} = 8)\) .
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+Figure 6
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+Supplementary Figure 1
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+a
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+
+
+<|ref|>text<|/ref|><|det|>[[52, 420, 190, 444]]<|/det|>
+Epithelial mesenchymal transition
+PI3K AKT mTOR signaling
+Unfolded protein response
+
+<|ref|>image<|/ref|><|det|>[[512, 88, 930, 655]]<|/det|>
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+<--- Page Split --->
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+# Supplementary Figure 2
+
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+Supplementary Figure 3
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+a
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+<|ref|>text<|/ref|><|det|>[[70, 295, 400, 327]]<|/det|>
+DEGs from postmortem brains of COVID- 19 patients from Mavrikaki et al.
+
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+Supplementary Figure 4
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+Supplementary Table 1
+
+<|ref|>table<|/ref|><|det|>[[87, 97, 904, 714]]<|/det|>
+
+| Primer | Target | | Sequence (5'-3' orientation) |
| RPLP0 | Human and mouse | Fw | TTCATTGTGGGAGCAGAC |
| Rv | CAGCAGTTTCTCCAGAGC |
| RdRP | SARS-CoV-2 | Fw | CATGTGTGGCGGTTCACTAT |
| Rv | TGCATTAACATTGGCCGTGA |
| Spike | SARS-CoV-2 | Fw | CTACATGCACCAGCAACTGT |
| Rv | CACCTGTGCCTGTTAAACCA |
| Envelope | SARS-CoV-2 | Fw | TTCGGAAGAGACAGGTACGTT |
| Rv | CACACAATCGATGGCGAGTA |
| Nucleocapsid | SARS-CoV-2 | Fw | CAATGCTGCAATCGTGCTAC |
| Rv | GTTGCGACTACGTGATGAGG |
| Lamin B1 | Human | Fw | CTCTCGTCGCATGCTGACAG |
| Rv | TCCCTTATTTCCGCCATCTCT |
| II8 | Mouse | Fw | GTCCTTAACCTAGGCATCTTCG |
| Rv | TCTGTTGCAGTAAATGGTCTCG |
| II6 | Mouse | Fw | GCTACCAAACTGGATATAATCAGGA |
| Rv | CCAGGTAGCTATGGTACTCCAGAA |
| p16 | Mouse | Fw | AATCTCCGCGAGGAAAGC |
| Rv | GTCTGCAGCGGACTCCAT |
| Mmp12 | Mouse | Fw | TTCATGAACAGCAACAAGGAA |
| Rv | TTGATGGCAAGGTGGTACA |
| II1a | Mouse | Fw | TTGGTTAAATGACCTGCAAAC |
| Rv | GAGCGCTCACGAACAGTTG |
| Ccl2 | Mouse | Fw | CATCCACGTGTTGGCTCA |
| Rv | GATCATCTTGCTGGTGAATGAGT |
| II1b | Mouse | Fw | AGTTGACGGACCCCAAAAG |
| Rv | AGCTGGATGCTCTCATCAGG |
| Cxcl10 | Mouse | Fw | GCCGTCATTTTCTGCCCTA |
| Rv | CGTTCCTTGCGAGAGGGATC |
+
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+
+# Human land fragmentation drives tropical forest fires but dampens global burned area
+
+Simon Bowring
+
+simon_bowring@hotmail.com
+
+Laboratoire des Sciences du Climat et de l'Environnement (LSCE), https://orcid.org/0000- 0002- 0041- 0937
+
+Wei Li Tsinghua University https://orcid.org/0000- 0003- 2543- 2558
+
+Florent Mouillot CEFE, Université de Montpellier
+
+Thais Rosan Faculty of Environment, Science and Economy, University of Exeter https://orcid.org/0000- 0003- 0155- 1739
+
+Philippe Ciais Laboratoire des Sciences du Climat et de l'Environnement https://orcid.org/0000- 0001- 8560- 4943
+
+## Article
+
+Keywords:
+
+Posted Date: October 3rd, 2023
+
+DOI: https://doi.org/10.21203/rs.3.rs- 3337266/v1
+
+License: © This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+Additional Declarations: There is NO Competing Interest.
+
+Version of Record: A version of this preprint was published at Nature Communications on October 24th, 2024. See the published version at https://doi.org/10.1038/s41467- 024- 53460- 6.
+
+<--- Page Split --->
+
+# Human land fragmentation drives tropical forest fires but dampens global burned area
+
+\(^{1,2}\) Simon P.K. Bowring\*, \(^{3}\) Wei Li, \(^{4}\) Florent Mouillot, \(^{5}\) Thais M. Rosan, \(^{1}\) Philippe Ciais.
+
+\(^{1}\) Laboratoire des Sciences du Climat et de l'Environnement (LSCE), IPSL- CEA- CNRS- UVSQ, Université Paris- Saclay, Gif- sur- Yvette, France. \(^{2}\) Laboratoire de Géologie, Département de Géosciences, Ecole normale supérieure (ENS), 24 rue Lhomond, 75231 Paris Cedex 05, France \(^{3}\) Department of Earth System Science, Ministry of Education Key Laboratory for Earth System Modeling, Institute for Global Change Studies, Tsinghua University, Beijing, China. \(^{4}\) UMR 5175 CEFE, Université de Montpellier, CNRS, IRD, 1919 Route de Mende, 34293 Montpellier, France \(^{5}\) Faculty of Environment, Science and Economy, University of Exeter, Exeter, United Kingdom
+
+\*Corresponding author: simon.bowring@lsec.ipsl.fr
+
+## Abstract
+
+Landscape fragmentation has been correlated with either increases or decreases in burned area (BA), but their causal mechanisms remain elusive. Here, road density, a fragmentation proxy, is implemented in a CMIP6 coupled land- fire model, enabling dynamic representation of bottom- up processes affecting fragment edges. Over 2000- 2013, fragmentation altered BA by \(>10\%\) in \(16\%\) of burned \([0.5^{\circ}]\) grid- cells and caused gross changes of \(- 6.5\%\) to \(+5.5\%\) in global BA. Model output mimicked the global satellite- observed negative relationship between fragmentation and BA, although some regional BA decreases were matched by fire intensity increases. In recently- deforested tropical areas, however, fragmentation drove significant, observationally- consistent increases in BA \((- 1 / 4\) of Brazilian, Indonesian total BA). Fragmentation BA's relationship with population density is negative globally- averaged, but hump- shaped and largely positive in tropical and temperate forests. We suggest fragmentation could 'tip' toward net BA- amplification with future tropical forest degradation and fire- activity, providing policymakers a first quantification of fragmentation- fire risks.
+
+## Introduction
+
+Human land use change (LUC) affects a third of the terrestrial surface \(^{1}\) , and the fragmentation of natural land \(^{2}\) results in large- scale biodiversity loss \(^{3,4}\) , habitat degradation \(^{5}\) , changes to the surface energy balance \(^{6 - 10}\) and biogeochemical cycling \(^{11}\) , leading to around one- third of global carbon (C) emissions \(^{12,13}\) . LUC is forecast to increase substantially by 2100, with expansions in agricultural and settlement area across all future climate- SSP scenarios of \(+12 - 83\%\) \(^{14}\) and \(+54 - 111\%\) \(^{15}\) , respectively forecast over a 2015 baseline. Concurrently, C emissions and attendant increases in global temperatures will perturb atmospheric and hydrologic circulations, combining to increase the future frequency and severity of fire events \(^{16 - 21}\) , the global area prone to frequent fire \((+ - 30\%)^{22}\) , and population- exposure to their immense socioeconomic cost \(^{23}\) . Context- specific studies have demonstrated both negative and positive interactions of LUC with fire probability without determining their drivers \(^{18,24 - 27}\) . Yet to date, no mechanistic representation of the link between the two has been developed. This restricts the capacity of a sustainable economic and infrastructural policy to consider the implications of LUC and fragmentation \(^{28}\) for fire risk, and hampers understanding and forecasting of fire behaviour, the role of human in altering prehistoric fire regimes \(^{29}\) .
+
+Fire and LUC interact via weather and vegetation through landscape fragmentation, the natural or manmade spatial discontinuity of vegetation due to ecological and economic transitions such as roads, breaks in topography and parent material, disease outbreaks, and fire itself \(^{30}\) . The fragment concept conceives of isolated vegetation patches, each with an interior and an 'edge' that is subject to a diverse range of
+
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+'edge effects' due to contact with a non- vegetated space. The 'edge limit' represents the point where the thinning of interior vegetation is at a maximum, whereas the 'edge area' represents the area between fragment limit and interior that is subject to a gradient of 'edge effects' such as soil and fuel drying. This conception of fragmentation has been deployed for studying edge impacts on ecology, land use dynamics and spatial planning31- 35; and more recently for a host of ecosystem properties, including air temperature36, soil moisture, microclimate9,37- 42, vegetation growth7 and phenology43. Fragmentation today is predominantly driven by large- scale investment in LUC and access infrastructure (i.e. roads)1,44- 46 - the latter the direct cause of many of the LUC effects described28,47,48.
+
+Fragmentation is difficult to measure empirically because: (1) Its definition is normative; what is fragmented and what makes it fragmented vary according to contextual lens49. (2) It isn't readily amenable to numerical reduction. Fragments have different sizes, shapes and properties50,51. (3) Different climate- vegetation and shape- size pairings may have different fire responses to fragmentation.
+
+Extant empirical studies suggest that fragmentation tends to decrease landscape- scale BA in grassland- savannahs52,53, and increase it in forest ecosystems24,53,54, however these are limited in scope, scale and number. Empirical studies of fire- fragmentation effects are scarce24 primarily because measurement is an exercise in the counterfactual, asking: what would fire outcomes be if fragmentation was/wasn't here given that it isn't/is here? Addressing this under controlled unfragmented plot- scale conditions is possible, but would likely require removing key processes e.g., potential dependency of human ignitions on degree of fragmentation. Finally, fragmentation's impact on fire takes one away from BA aggregated at annualised scales towards individual fire phenomena, with potentially opposing interpretations: Fragmentation may produce smaller/bigger individual fires while causing higher/lower annual BA.
+
+Land surface modelling is a powerful tool in this context for handling future emissions- based climate scenarios, sensitivity experiments, the integration of fragmentation- fire feedbacks and experimentation with worlds where fragmentation does and doesn't affect fire. This enables isolation of these effects in a way that is effectively impossible at in situ scales and conditions. Here, we represent fire- fragmentation dynamics in the global land surface model ORCHIDEE- MICT- SPITFIRE55- 57, a commonly- used and fire- enabled63,64 terrestrial branch of the [CMIP6] IPSL earth system model. ORCHIDEE- MICT- SPITFIRE (hereafter ORCHIDEE) integrates dynamic vegetation/fuel with climate, ignitions and fire physics65- 67 and is a participant in the Global Fire Model Intercomparison Project (FireMIP68- 70).
+
+## Conceptual Treatment of Fragmentation
+
+Model representation of fragmentation- fire must overcome three problems. First, fragments occupy a vast array of morphologies which cannot be represented explicitly at the sub- grid scales required by existing model resolutions. Second, although lack of an extant fragmentation metric might be overcome through a proxy, this proxy must be continuous and operable at sub- grid scale. Third, the edge- interior characterisation of fragments requires that gradients exist between these two states, raising the problem of how to represent such gradients given patch shape- size heterogeneity, for which predictive relationships with fire do not exist.
+
+In order of the problems outlined above, we proxy fragmentation as follows: First, fragmentation extent is proxied through road density. This is the only available satellite- derived data available that might capture fragmentation- fire effects, and simplifies analysis because roads are a fixed infrastructural feature in the medium term: Their existence is a state that changes far less than the patch interiors which they demarcate. Dirt, local, state and national summed roads are conceived of as defining the edges of fragments, because LUC and subsequent fragments require overland access, and hence the construction of roads (fragment boundaries). Roads may act as a physical barrier to fire spread, imposing limitations on individual fire size and aggregate BA71- 73, yet simultaneously expose vegetation to increased human contact, edge effects and potential fire74- 77. Second, vegetation patches arising from fragmentation are reduced to a single shape and size in a grid cell, given that the sub- grid scale is definitionally an average value. Third, this uniform patch shape is assumed to be circular, such that all patches in a grid can be
+
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+reduced to an average size that is defined by total road length. This enables conversion of empirical data to probabilistic representation of fires through ‘edge effects’ as a function of the patch radius, facilitating a ‘bottom-up’ approach to representing fragmentation-fire phenomena (Fig. S1).
+
+
+
+Figure 1: (a) Log-scale global map of grid cell mean ‘average edge distance’ (AED, m), as used as model input in this study and interpretable as the average Euclidian distance from an average patch edge to its interior and calculated as described (Methods, Fig. S1) to remove the urban proportion of road area. (b) System diagram of fragmentation-fire relations implemented within the ORCHIDEE model structure, where fragmentation is affecting fire size, spread, number and propensity/rate of spread (ROS)/intensity, with counteracting effects with respect to BA. Green boxes denote where AED impinges on individual fire variables (blue boxes), given modulating factors (orange) that result in emergent grid-scale fire tendencies (red). Arrows denote positive (red) and negative (blue) relationships. FDI=Fire Danger Index; ECO2=Fire CO2 emissions.
+
+We calculate satellite- estimated per- grid cell total road length (RL) globally from ref. \(^{46}\) and convert this to a number of circles (‘fragment patches’) of equal area per grid- cell, whose summed circumferences satisfy both RL and grid area (Fig. S1, Methods). Patch radii provide the average Euclidean distance from patch interior to edge, or average edge distance (AED, Fig. 1a). This enables reduction of patch edge- interior gradients to a single distance, as used in other studies \(^{31}\) , greatly simplifying conversion of observational edge effect data to model- relevant code. To calculate AED from RL, we removed the urban component (Methods) of RL for each grid cell \(^{44,45}\) , given large fires don’t occur in urban areas (Methods). Remaining RL was doubled to account for miscellaneous vegetation breaks and because the original road dataset exhibits a significant low bias (Methods, Table 1) \(^{78 - 80}\) .
+
+AED then defines the relationships between land surface variables and fire phenomena (Fig. 1b, Methods, Table 1). As fragmentation increases and AED decreases: (1) Individual fire size is restricted by patch size unless threshold conditions for crown fire spread and fuel bulk density limitation in forests and grasslands \(^{81}\) , respectively, are surpassed. This was implemented because recent statistical evidence
+
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+suggests that road density \((\mathrm{mkm}^2)\) is the strongest predictor for decreases in annual BA at global scale71. (2) Vegetation is more exposed to human contact and hence ignitions- potential through machinery, smoking, trash burning, etc., proportionately increasing human ignition probability66,82 (Methods). (3) Fuel moisture and threshold fuel ignition moisture at the patch edge decreases due to edge drying37- 41, increasing fire risk and propagation potential; (4) Wind infiltration and hence speed at patch edges increases of forests only81 due to decreased surface roughness83,84 (Methods, Table 1). Thus, fragmentation potentially decouples fire rate of spread and fire intensity from BA (Figs.1,S2, Methods). We stress that this study does not seek to account for land use impacts of fragmentation (e.g. deforestation, plantation), but the impact of the fragment edge in isolation.
+
+Global- scale ORCHIDEE fire simulations were conducted at \(0.5^{\circ}\) grid- resolution over 2000- 2013 with all fragmentation functions activated, in addition to a 'control' ('CTRL') simulation, with fragmentation deactivated (Methods). A separate suite of ten sensitivity simulations, in which fragmentation was arbitrarily varied globally for all grid cells at decreasing two- fold increments of AED of \(10000\mathrm{m}\) , \(5000\mathrm{m}\) ... \(\sim 39\mathrm{m}\) (AEDF2) were performed to study the incremental effects of fragmentation- doubling on burned area at global and biome scale. These simulations were run from 2001- 2003, straddling weak or neutral El Niño/La Niña years to dampen their signal.
+
+
+
+Figure 2: (a,b): Gross fractional increase (a) and decrease (b) in simulated mean annual BA \((f(\Delta BA_{Frag.}))\) versus a control simulation without fragmentation (log-scale). Grid cells where the absolute change in area burned \(< 0.2\%\) of a grid cell \((-5\mathrm{km}^2\mathrm{yr}^{-1})\) were masked out. Aggregate annual increases and decreases in BA (Ha \(\mathrm{yr}^{-1}\) ) due to fragmentation are included in million hectares (Mha). (c) Regression of logit link-transformed monthly mean BA against the square root of RD \((\mathrm{mkm}^2)\) . Dashed black line: Observation-based regression model between BA and road density from ref. (Haas et al., 2022 71). Grey line: all simulated grid cells. Blue line and circles: only the simulated grids where fragmentation explicitly decreases mean fire size, plotted against the original road density data used in Haas et al. Red line and circles: same but plotted against the road density used in our simulations where the urban fraction of roads is removed. (d) Frequency counts of grid cells across bins of mean fragmented vegetation patch size (Ha) aggregated from the global AED map in Fig. 1a (red bars), with observed maximum (blue/purple), mean (green) and minimum (orange) observed fire patch size frequencies averaged from 2001-2020 for each grid cell, across the observed range of fire patch size using data from refs (85-88). The overlap between maximum obs. fire size (blue) and fragment size (red) is shaded purple to highlight their statistical overlap. This Figure facilitates interpretation of the fire size range and grid cell quantity affected (C,B) or unaffected (A,D) by fragmentation (see Fig. 2c).
+
+## Results
+
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+
+## Global scale fire-fragmentation
+
+Global time- averaged change in BA due to fragmentation with respect to the CTRL simulation (BAFrag- \(\mathrm{BA_{CTRL}} = \Delta \mathrm{BA_{Frag}}\) ) caused both gross BA decreases and increases, depending upon the region considered. The global sum of gross \((\Delta BA_{Frag})\) decreases amounted to - 30 \(\mathrm{MHz}\mathrm{yr}^{- 1}\) and the sum of gross increases \((\Delta BA_{Frag}^{+})\) were \(+25.6\mathrm{MHz}\mathrm{yr}^{- 1}\) , equivalent to \(- 6.5\%\) and \(+5.5\%\) of 2001- 2019 averaged satellite- observed \(\mathrm{BA}^{89}\) , respectively (Fig. 2a,b). Fragmentation altered mean annual BA by more than \(\pm 10\%\) in \(17\%\) , and by more than \(25\%\) in \(7\%\) , of burned grid cells, respectively. Generally, in areas with high levels of both fragmentation (Fig.1a) and population density (Fig. 2a,b), simulated fire activity saw the largest significant proportionate BA decreases, e.g. north- west Europe, California and northeast- USA. Conversely, significant increases in BA and combustion are simulated in areas with low to moderate fragmentation and population densities (Fig. S3, S4), e.g., Indonesia, eastern Brazil and the north Mediterranean.
+
+We evaluated the statistical relationship between BA and road density (RD) emerging from our simulations, to compare with the satellite- observation- based global logit- transformed relationship of \((BA) = - 0.05*(RD) - 6.5\) (dashed black line) in ref. (1) (Fig. 2c). While the overall simulated regression models closely replicate the observed slopes and intercept, the \(\mathrm{R}^2\) coefficient is low when (i) considering all grid cells (black line, Spearman's rho \((\rho) = - 0.07\) , \(\mathrm{R}^2 = 0.05\) , \(\mathrm{p}< 0.001\) ), but it is improved in (ii) grid cells where road- fragmentation actively decreases individual fire sizes, using the same RD as employed in ref. 71 (blue line, \(\rho = - 0.46\) , \(\mathrm{R}^2 = 0.21\) , \(\mathrm{p}< 0.001\) ), and (iii) same as (ii) but RD has urban roads removed, as applied in these simulations (red line, \(\rho = - 0.66\) , \(\mathrm{R}^2 = 0.41\) , \(\mathrm{p}< 0.001\) ).
+
+The low \(\mathrm{R}^2\) in (i) is due to: First, ORCHIDEE- SPITFIRE simulates large numbers of very small fires that aggregate to low levels of annual BA (bottom- left grey dots in Fig. 2c). Where realistic, these are generally not picked up by existing satellite (MODIS) BA retrieval/processing mechanisms. Second, removal of urban roads in the AED calculation (Methods) was not performed in [71], whose regression may reflect factors that correlate with RD that would strengthen its correlation coefficient (e.g. fire suppression in urban areas, large fire- retardant surface areas, population density). Third, counts of small patch sizes calculated by the model are about two orders of magnitude lower than counts of observed mean fire sizes, meaning that fragmentation extent can only feasibly constrain fire size in a limited number of grid cells (Fig. 2d).
+
+The probability of patch size constraining fire size is high for medium- large fire sizes (area C in Fig 2d), but low for small fires, because small patch size counts are about two orders of magnitude lower than those of small fire size counts (areas A vs. B, Fig.2d). As a result, fragmentation by roads cannot on average directly decrease fire size over a broad swath of areas where fires occur (Areas A and D, Fig. 2d). This exposes the limits of fragmentation as a physical constraint to fire size, although there may be other nonphysical constraints that we exclude. The red line in Fig. 2c therefore represents the areas B and C of Fig. 2d, giving the 'effective' fragmentation- fire relation with respect to model output.
+
+## Regional scale and population fragmentation impacts
+
+General patterns in regional \(\Delta \mathrm{BA_{Frag}}\) are discernible in Fig. 2a,b, but precision evaluation requires an observational dataset that removes and adds fragmentation while holding population density, vegetation and climate constant - which is implausible. However, we can compare observed and modelled fire activity in areas over which large- scale increases in fragmentation have occurred during the period for which global satellite observations of fire are available (post- 2000). This coincides with the 'boom' years of globalisation, in which lowered regulatory power and multinational corporate demand incentivised large- scale supply of cheap commodities for global markets. Large swathes of the largely- tropical global South, most notably in Indonesia and Brazil, were given over to clearing, selective logging and plantation/mining establishment over the last two decades that were associated with systematic increases in fire activity, and provides a 'before- after' comparison of fire behaviour with fragmentation. Fig. 3a plots \(f(\Delta BA_{Frag})\) in northern S. America, overlaid with data from ref. that
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+identified where the running mean of BA and a fragmentation proxy experienced significant \([+ / - ]\) trends over 2003- 2018. That study suggested Amazon rainforest- interior BA rose with fragmentation, but either fell or was unresponsive to fragmentation increases in the cerrado. Model output replicates the same dynamic, where large \(\Delta BA_{Frag}^{+}\) values follow the Trans- Amazonian highway \(^{103}\) into the Amazon rainforest interior (Figs. 3a, S7), while the cerrado region tends to experience decreasing BA with fragmentation. Fig. 3a's model- data comparison is not entirely commensurate as ref. \(^{102}\) ) identify temporal trends in fragmentation and total BA to approximate if and where they are correlated, whereas our fragmentation input is static and outputs only changes in the fragmentation component of BA. Thus, in cerrado areas that are subject to large climate- driven interannual variation in drought and fire extent, aggregate BA trends may subsume fragmentation BA effects. The inverse may be the case in the wet Amazon, where fragmentation can dominate fire causation \(^{54,104}\) . Large simulated \(\Delta BA_{Frag}^{+}\) in the deep interior Amazon where ref. \(^{102}\) ) find no significant trends (no data points) reflect large fractional increases in simulated fire over a miniscule baseline - fires not visible to MODIS sensor detection.
+
+In Fig. 3b, we compared grid cells where average simulated BA increased in Indonesia and Malaysia, against satellite- based grids where BA increased between 2000- 2019 over a 1982- 1999 baseline \(^{105,106}\) . We overlaid these with grid cells that experienced significant deforestation \(^{107}\) and tree plantation inception \(^{108}\) since 2000 (Fig. 3a, S5,S6). In Borneo/Kalimantan and Sumatra, where the majority of recent fragmentation and fire activity has occurred, the results from our fragmentation- fire model agreed with \(58\%\) of grid cells that experienced an observed increased of BA, of which \(67\%\) were areas of known significant deforestation and/or plantation establishment. This broadly agrees with ref. \(^{109}\) , which found that human activity had amplified (but may not dominate) drought- related fires in Sumatra and Kalimantan since 1960. The model failed to reproduce large fire anomalies in southern Borneo/Kalimantan resulting from drained peatland- vegetation burning \(^{110,111}\) , which is expected since this version of ORCHIDEE does not represent peat or soil burning.
+
+Simulated average gross \(\Delta BA_{Frag}^{+}\) values in the Amazon and Indonesia are equivalent to \(\sim 27\%\) and \(24\%\) of observed average annual BA \(^{112}\) , respectively, suggesting fragmentation is a significant driver of fire activity in tropical regions, describing the linkage between initial deforestation and dry season severity \(^{113}\) to promote fires that would otherwise not have spread.
+
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+
+Figure 3: (a) Simulated fractional changes in BA due to fragmentation in northern S. America \((f(\Delta BA_{Frag.}),\) colour-bar), overlaid with BA and fragmentation-proxy trend data from Rosan et al. (2022)102, which were
+
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+
+aggregated for Brazil's Amazonian (circular points) and Cerrado regions (triangles), as comparison. Where both BA and fragmentation increased \((+BA / + \mathrm{frag})\) over 2003- 2018, points are coloured red and \([(+BA / - \mathrm{frag}) =\) orange; \((- \mathrm{BA} / + \mathrm{frag}) =\) light blue; \((- \mathrm{BA} / = \mathrm{frag}) =\) dark blue]. Note the comparison is not entirely commensurate (see text). Simulated gross BA changes due to fragmentation over the Figure region are shown inset. (b) Comparing \(f(\Delta BA_{Frag})\) with observed (FireCCI) BA anomalies from a 1982- 1999 baseline, over areas of known large- scale fragmentation in Indonesia and Malaysia, during the period for which satellite- based fire data are available (post- 2000). Simulation- observation agreement (yellow- red) and observation- only fire anomaly grid cells (green- blue) are shaded darker along a gradient of increasing observed fire anomaly (Methods). Dots correspond to areas of significant deforestation activity(ref) and/or plantation establishment (ref) since the year 2000 (black, green), or preceding it (pink). Dot size is proportional to deforestation severity where applicable. The dotted grid highlights Borneo and Sumatra, where recent regional fragmentation is concentrated. (c) Binned frequency density scatter of fractional mean changes in BA per grid cell due to fragmentation relative to the Control \((f(\Delta BA_{Frag})\) , y- axis) where this was \(\geq \pm 1\%\) , against the logarithm of population density (x- axis) of that grid cell, plotted globally across five biome types. A generalised additive model (GAM, black line) is included for interpretation. Asterisk(\*) mark the PopD level at which \(f(\Delta BA_{Frag})\) is maximum in tropical and temperate biomes ( \(\sim 0.5\) and \(\sim 50\) individuals \(\mathrm{km}^{- 2}\) , respectively).
+
+How fire behaviour in different biomes may respond to fragmentation as population density (PopD) levels change provides insight into fire regime evolution with increasing human landscape encroachment. The per- grid relationship of \(f(\Delta BA_{Frag})\) with population density for each global biome, as well as the generalised additive model (GAM) trend for each is shown in Fig. 3b. Tropical forests simulated a clear increase in BA at low population levels (max \(\Delta BA_{Frag}\) at a population density of \(\sim 0.5\) individuals per \(\mathrm{km}^{- 2}\) , (\* in Fig. 3c)), and is the only biome where a fragmentation- related decrease in BA is less important than an increase. Temperate forest fragmentation drives a decrease in BA above low to moderate PopD and increases BA at moderately high PopD of 50 individuals \(\mathrm{km}^{- 2}\) . Boreal forests appear relatively unaffected by changes in population, although this may reflect a low statistical spread of population density114. Temperate grasslands fragmentation correlated with increased BA at low population densities, and decreased dramatically at high levels, presumably because of fragmentation limitations to fire spread.
+
+## Susceptibility of \(\mathbf{CO}_2\) emissions and burned area to fragmentation
+
+Globally, the impact of fragmentation on fire C- emissions is similar to that of BA, with a net reduction of \(- 1\%\) ( \(- 0.02\mathrm{PgC}\mathrm{yr}^{- 1}\) ) of global emissions. Conversely, the spatially disaggregated fragmentation- emission impact on specific biomes (Fig. S4) suggests that its relative effect in tropical, temperate and boreal forests is largely positive, despite being negative globally. This is highlighted in Figure 4a, which shows large areas of the world overal in for forest biomes in which the direction of change of C- emissions due to fragmentation is decoupled from that of BA. This is particularly true of boreal (per ref.77) and to a lesser extent, tropical forests. This implies that fragmentation can reduce total BA while increasing the emissions- intensity of fires that do burn. This is relevant to observed increases in global fire intensity over the last twenty years115.
+
+Ten global sensitivity simulations were run, in which the AED across grid cells is synthetically varied globally at 9 factor- of- two values (F2) of AED from 10000m to \(39\mathrm{m}\) (AEDF2, see Methods). We compared the fractional change in BA of grid cells between each sequential level of applied fragmentation \(f(\Delta BA_{\Delta F2})\) as a measure of biome- scale fire sensitivity to fragmentation. BA declined everywhere as fragmentation increased when averaged over all AEDF2 levels (Fig. S9), however BA decreases were lowest in tropical and boreal forest regions of the world (Figs. 4b, S9). We aggregated grid cell \(f(\Delta BA_{\Delta F2})\) to a biome- scale average for each simulation to study how BA was altered by fragmentation as it increased. Fragmentation doubling caused biome- specific BA decreases \(f(\Delta BA_{\Delta F2})\) of \(- 7.5\%\) (Tropical forest); \(- 15\%\) (Temperate forest); \(- 19\%\) (Boreal forest); \(- 30\%\) (C3 grasslands); \(- 22\%\) (C4 grasslands). On average, BA decreased monotonically for almost all biomes (Fig. S9, S10).
+
+Simulated BA begins to decrease at different AED levels for different biomes (Fig. S9), implying differential biome- average fire sensitivities to land fragmentation. For example, to reach the same fractional decrease in BA \((- 5\%)\) due to fragmentation, an average tropical forest grid cell requires an
+
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+additional road length of \(2.5 \mathrm{km} \mathrm{km}^{- 2}\) (\~6000 km grid \(^{- 1}\) ), highlighting the higher resistance of the tropical biome to fragmentation- associated BA reductions (Fig. 4b).
+
+
+
+Figure 4: (a) Time-averaged map showing where fragmentation relative to the control simulation without fragmentation leads to coupled (increasing or decreasing in the same direction) changes in BA \((\Delta \mathrm{BA}_{\mathrm{Frag}}\) , Ha yr \(^{-1}\) ) and fire \(\mathrm{CO}_2\) emissions intensity \((\Delta \mathrm{ECO}_{2\mathrm{Frag}}\) , gC \(\mathrm{m}^{-2}\) yr \(^{-1}\) ), shown in light colours, or decoupled changes (one increasing, the other decreasing), in dark colours. Blue depicts areas where \(\Delta \mathrm{BA}_{\mathrm{Frag}}\) is negative, and red where it is positive. (b) Global spatial sensitivity of fire to hypothetical fragmentation levels: \(\mathrm{AED}_{\mathrm{F2}}\) simulation ensemble-averaged spatial distribution of fragmentation-doubling effects on fire burned area (unitless colour scale). All grid cells show a mean decrease in BA over the 9 simulations, but because of differential direction of change between simulations, we show in dark colours those grid cells where the average \(\mathrm{AED}_{\mathrm{F2}}\) impact is most likely to increase BA (highest fire susceptibility) and in light colours where it is most likely to decrease BA.
+
+## Discussion and Conclusion
+
+By generating a parsimonious representation for land fragmentation based on observed road density, we enable the simple representation of its impacts on fire probability and behaviour in a land surface model. This reproduces observed relationships between land fragmentation and fire probability, at globally- aggregated and regional scales. We show that fragmentation has globally- significant impacts on BA, and may be a principal driver of fire activity regionally. Our grid- average approximation of vegetation fragment size as a directly- proportional barrier to fire spread appears sufficient to reproduce the relationship of BA decreasing with road density in observations, but also highlights that this physical constraint to size remains limited by the observed fire size distribution (Fig. 2d), and may be most effective at dampening larger fires. Conversely, model output reproduced large increases in BA in tropical regions where deforestation and plantation expansion are rampant,
+
+Broadly, our results mirror what is known anecdotally, but provides explanatory quantification and future projection potential for these small- scale or statistical relationships at global scale. This allows: (1) Identifying how and which edge effects may increase fire behaviour in specific locations/biomes, facilitating remediating action; (2) Dynamic forecasting of how projected changes in fragmentation/RD may impact fire behaviour in the future; (3) A first step towards policy assessment of fire risk and social welfare when considering fragmentation- relevant policy directives (e.g. Fig. S8). The methodology applied here also provides a route for large- scale modelling of other fragmentation effects in earth, ecological \(^{47,104,116,117}\) and epidemiological sciences \(^{18,119}\) .
+
+We believe that our fire model representation would be improved by discriminating between road- types, although the empirical impact of these on edge effects is for now largely unknown. Further, our results suggest that fragmentation's effect size on BA, where non- zero, varies hugely across space and time, and may only be a reflection of pre- existing model bias where modelled BA is otherwise low. Because the AED input map is static, year- by- year interpretation of output is problematic, and provides impetus for the production of higher resolution and better- identified gridded RL timeseries maps. This data shortcoming explains why we aggregate all output to simulation period average, interpretable as the probabilistic change in BA due to \(\sim 2014\) road density, which we believe reasonably retains fragmentation- fire effects given a short simulation timespan. The model appears to fail in areas of very
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+high soil moisture such as southern Kalimantan and the Pantanal (Fig.3a,b respectively), and peat fires/drainage should be included in future model iterations.
+
+Climate warming, population density and LUC will increase in the future, with socioeconomic effects of greatest magnitude forecast in the tropics120. Fragmentation largely increases fire in the tropics, meaning it may become a major driver of burned area there in the future, and suggests fragmentation could eventually 'tip' towards a global net- positive BA phenomenon with future tropical forest degradation and fire- activity, in a potential feedback loop. This may place greater burden on countries in these regions to balance economic policy with the environmental and welfare consequences of fire risk those policies may entail.
+
+## Methods
+
+## Model Description
+
+ORCHIDEE- MICT is a global- scale, grid- resolution model generally employed at 0.5 to 2 degrees, with boreal and permafrost - specific adaptations for high latitude biomes that affect soil, vegetation, hydrological and thermal processes specific to those latitudes. These process representations are particularly important in the context of this study for the modelling of future fire- vegetation- hydrological interactions. The model is carbon- based, in that it ultimately denominates earth system dynamics through their impacts on the C cycle, by which energy, soil, water and climate drive fluxes of C through the system via vegetation and associated biological and ecological processes. Thus, photosynthetic C is fixed by 11 plant functional types (PFTs), doing so differentially as each PFT is subject to specific primary production, senescence and C dynamics. The spatial distinction between PFTs can either be forced through an input vegetation map, defining the fractions of each grid cell covered by each PFT, or through the dynamic global vegetation model in ORCHIDEE, which predicts PFT type and allocation according to the biophysical suitability of each PFT to primarily climatic input variables. Fixed C is then allocated to foliage, fruit, roots, above/below - ground sapwood, heartwood and C reserves, that upon death or senescence are shunted to two reactivity- differentiated litter pools. ORCHIDEE- MICT is hard- coded with an adaptation of the SPITFIRE fire module63,66,121,122, which divides the aboveground vegetation components described above and apportions them to potential fuel type categories differentiated by their potential time to oxidation. Fire ignitions are controlled by a positive linear function of lightning flash density and a positive logistic function of human population density to represent human ignitions. Vegetation flammability is determined by fuel and climatic conditions (Nesterov Index and Fire Danger Index). The area burned in an individual fire event is determined by the rate of fire spread and fire duration, as influenced by vegetation flammability. Fire \(\mathrm{CO}_2\) emissions depend on vegetation biomass, fire intensity and duration.
+
+## Fragmentation Representation
+
+The average edge distance (AED) per grid \((AED_G)\) given per- grid road length sum \((RL_G)\) was solved analytically and is given by the following:
+
+\[AED_G = (2*Area_G*f(Cont)) / \Sigma (RL_G)) \quad (1)\]
+
+Where \(Area_G\) is the grid area in \(\mathrm{m}^2\) , and \(f(Cont)\) the fraction of each grid cell area taken up by the continental landmass. The gridded RL dataset in Meijer et al. (2018) gives a global road length estimate that is about \(50\%\) lower than that estimated by the World Road Statistics database ( \(\sim 30\) million km), and about \(300\%\) lower than the estimate provided by the CIA World Factbook. Furthermore, a recent report78 showed that the Global Roads Inventory Project (GRIP) database consistently and strongly under- predicted the existence of small roads, leading to large low biases against manually- observed road data in the report's two case study sites in the Congo and Canada. The primary reason hypothesised for these mismatches, which are acknowledged in the46 paper, is the under- representation of unofficial
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+and unpaved roads in their source database. GRIP was shown to under- represent total manually- measured road length in a grid cell by a factor of over 8 in one area (Fig. 19 of \(^{78}\) ). For this reason, in Eq. 1, which generates the AED map used as input to ORCHIDEE, we make the assumption that the gridded road length data underrepresent actual road length by a factor of 2, which implies a total global road length roughly in between the WRS and CIA estimates. Further, as river and stream length as well as large topographic discontinuities can reasonably be expected to act as fire breaks in most circumstances, and given that these are excluded from the input data, we take these to be potentially integrated into the factorial AED map. We acknowledge that multiplying RL uniformly by a single factor masks the likely spatial distribution of bias inherent to the GRIP database, however given that the source bias has not been assessed or quantified, we retain this spatial uniformity assumption for simplicity in this study.
+
+In order to modulate the effects of fire by fragmentation, ORCHIDEE must first be fed a gridded input map containing the AED data. This is derived from \(^{46}\) , which gives global gridded road length in m km \(^{2}\) at 5 arc- minute ( \(\sim 8\mathrm{km}\) ) resolution for a single time period ( \(\sim 2017\) ), downloaded from (https://zenodo.org/record/6420961, accessed 20/11/2022), converted to netcdf format and regridded to this study's simulation resolution of \(0.5^{\circ}\) ( \(\sim 50\mathrm{km}\) ) using the conservative interpolation function in the Climate Data Operator (CDO) package \(^{123}\) . The raw data were provided in five classes of road type: highway, primary, secondary, tertiary and local. Although we can reasonably expect each of these road classes to represent different scales of fragmentation, each conferring differential effects in their relation with fire phenomena, the paucity of empirical data on what these might be, coupled with the range of impacts that may, as mentioned be contradictory, mean that for the moment we take all road classes to be equal in effect, and as such sum them to a single road length density (RL) variable. Equation 1 is then applied to the dataset to generate a global gridded map of the average circular patch radius associated with each grid cell (AED \(G\) ).
+
+Next, we assume that spatially extensive fires do not occur on land that can be considered 'urban'. This assumption is made on the basis that urban areas are characterised by very low fuel densities (compared to, say, a pine forest), large areas of concrete, asphalt and steel, which do not burn easily, and high population densities that strongly increase the probability of successful human fire suppression. Because road density in urban areas is very high, this assumption should also require that the urban proportion of road density in each grid cell is removed from the original RL data, and a corresponding AED map generated. To do so, we download the output data from [ref. \(^{45}\) ] which gives the urban area fraction (UAF) of grid cells at global \(0.125^{\circ}\) resolution, and projects this variable globally to 2100 under the Shared Socioeconomic Pathways (SSP) scenario suite: (https://dataverse.harvard.edu/dataverse/geospatial human dimensions_data, accessed January 12, 2023). We then plotted a simple linear regression between the 2018 UAF data and the original RL, giving a relationship between the fraction of urban area in a grid cell and the road density of that grid cell ( \(\mathrm{RL} = ((2.68*10^{4})*\mathrm{UAF}) + 292\) ; \(\mathrm{R}^2 = 0.43\) ), where \(2.68*10^{4} =\) is the regression coefficient ( \(\alpha_{\mathrm{UAF}}\) , Table 1).
+
+The RL data were split into categories of urban fraction, whereby each grid cell was allocated to one of twelve UAF bins, corresponding to [0- 1, 1- 5, 5- 10, 10- 20, 20- 30...90- 100 percent] and the equation was used to estimate the implied RD at the numerical midpoint of each bin. Thus, on the basis of the RL/UAF regression, a road length per unit UAF was allocated to each of the UAF- based classes, multiplied by the actual UAF of each grid cell given its UAF, and the resulting 'excess' road length subtracted from the original RL data, to give an 'effective' road density and AED value. The resulting AED 'fragmentation' map can be compared to the original, and shows that in removing the impact of urban area roads on the representation of fragmentation, the world's most fragmented landscapes are no longer found in north- west Europe but in the north- eastern United States and e.g. Bangladesh. This is likely indicative of extensive non- urban infrastructural sprawl in the former, and a symptom of uniformly high population density and low to medium intensity and highly- extensive agricultural land use in the latter, meaning that roads criss- cross large parts of the country (see Fig. 1a). We chose to use UAF bins and calculate the RD at their midpoint instead of direct application of the regression equation because the latter's scatter is substantial, with binning more closely approximating the statistical value envelope.
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+## Description of Fire-Fragmentation Dynamics
+
+Fire size: In ORCHIDEE, total burned area per timestep is given by the product of average individual fire size in a given grid cell, and fire number. Because it has been shown in an anecdotal number of studies \(^{53}\) that for forests, fragmentation leads to decreases in fire size, and at the same time, ref. \(^{71}\) showed that the single strongest negative determinant of burned area at global scale is road density, we first approach fragmentation representation by decreasing the potential size of an individual fire as fragmentation increases. This is done first by assuming that the maximum individual fire size is a multiple \((n_{pat})\) of a grid cell's AED- determined mean patch area. This is because fragmentation may delimit the boundaries of fire spread in many circumstances, the circular AED- derived patch area is itself only an average, and large variations in patch size will be the reality, with some patches much larger than others. In addition, it lends a lower degree of restriction of fragmentation on fire size, allowing for the real- world possibility that fires can spread beyond the borders of the original vegetated patch. \(n_{pat}\) allows for future refinement of model representation when empirical relations between subgrid- scale fragment size distribution and propensity for spread become known. In the absence of such data, we set \(n_{pat}(forest) = 1\) and \(n_{pat}(grass) = 1.25\) (Table 1). We reason this because the observed individual fire size distribution is highly skewed towards small fires when compared to the fragment sizes defined by AED (see Fig. 2d), and because statistical treatment of observations suggests road fragmentation is a strong determinant of lower aggregate \(\mathrm{BA}^{71}\) . Without any empirical data to work with, a multiplier of unity appeared the most reasonable choice. We shunted grassland fire size limitation by AED by \(25\%\) above unity due to the relative ease of ignition of fine fuels in grasslands that may both more easily ignite and be carried over road barriers by wind.
+
+Fire Spread Thresholds: To introduce added realism and further reduce the restrictiveness of the fragmentation representation, the AED- denominated limit on individual fire size is only applied when separate conditions are met for forests and grasslands. For forests, if the simulated fire intensity and flame height exceed canopy base height, which is the pre- existing condition for canopy scorch in the original version of SPITFIRE \(^{63}\) , and the condition for crown fire spread in an upcoming version (Bowring et al., in prep.) then no size limitation is imposed:
+
+\[\mathrm{FST}_{\mathrm{TREE}} = \mathrm{True}.\mathrm{IF}.:\mathrm{SH} > (\mathrm{H}_{\mathrm{TREE}} - (\mathrm{H}_{\mathrm{TREE}}*\mathrm{CL}_{\mathrm{TREE}})) \quad (2)\]
+
+Where \(\mathrm{FST}_{\mathrm{TREE}}\) is the fire spread threshold (Table 1), SH is the mean fire scorch height, \(\mathrm{H}_{\mathrm{TREE}}\) the mean tree height, \(\mathrm{CL}_{\mathrm{TREE}}\) the mean crown length. This is done to account for the possibility that high- intensity forest fires can't jump' over roads through crown spread, particularly if meteorological conditions for doing so are favourable. When this condition is met, fire spread and fire size are calculated as in the original SPITFIRE formulation. Second, over grasslands, ref. \(^{81}\) found that a critical threshold limiting fire spread ( \(\mathrm{FST}_{\mathrm{GRASS}}\) ), and hence fire patch size, exists in grasslands, which results from grassland fuel connectivity as given by area- specific fuel mass (tons \(\mathrm{Ha}^{- 1}\) ). They showed that if this 2.4 tons \(\mathrm{Ha}^{- 1}\) grass wet mass threshold is reached, even fuel at \(100\%\) moisture was able to burn. Thus, individual fire size limitation due to fragmentation on ORCHIDEE grasslands applies only to instances where the simulated grass fuel mass is below this biomass threshold, and are otherwise allowed to spread freely, as in the original SPITFIRE formulation:
+
+\[\mathrm{fGrass}_{\mathrm{WW}} = \Sigma (\mathrm{F}_{1\mathrm{hr}} + \mathrm{F}_{10\mathrm{hr}} + \mathrm{F}_{100\mathrm{hr}} + \mathrm{F}_{1000\mathrm{hr}} + \mathrm{F}_{\mathrm{Live}})*(1 / 0.45) \quad (3)\]
+
+\[\mathrm{FST}_{\mathrm{GRASS}} = \mathrm{True}.\mathrm{IF}.\mathrm{fGrass}_{\mathrm{WW}} > 2.5\mathrm{th}\mathrm{Ha}^{-1} \quad (4)\]
+
+Where \(\mathrm{fGrass}_{\mathrm{WW}}\) is the summed weight of grass and grass fuel, \(\mathrm{F}_{\mathrm{hr}}\) refers to the different 'hour' fuel classes in ORCHIDEE, \(\mathrm{F}_{\mathrm{Live}}\) is live grass and (1/0.45) is the conversion of dry biomass to wet weight. Note that this ensures that the fragmentation model is able to account for the likely increases in extreme fire weather projected by future scenarios of climatic change. In a hot and dry season, a combination of
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+fuel availability, low fuel moisture and high heat will enable an ignited fire to reach fire high reaction intensities, allowing high fuel consumption and flame heights to exceed those of the canopy and permit crown fire spread between forested patches. Likewise, fuel- limited grassland fires will, in dry seasons preceded by high pre- fire- season grass growth rates, spread when the medium of connectivity (fuel) is sufficient. Conversely, if there is insufficient fuel (i.e., prolonged drought), fire will not be able to spread between patches.
+
+Human Ignitions: Because the characterisation of fragmentation applied here is definitionally anthropogenic, it follows logically that an increment increase in road length in a given area exposes that length to human contact. Human contact in turn increases the risk of human ignitions, either through intentional (e.g., arson) or unintentional action (e.g., discarded cigarette butts, machinery, power lines, sunlit beer bottles, etc). In ORCHIDEE, human ignitions are controlled as a non- linear increasing then decreasing function of human population density, to reflect the fact that ignitions are more probable, and suppression less likely, when population density is low but not extremely sparse, such that the number of human ignitions \((IG_{H}\) , \(\mathrm{Ha^{- 1}d^{- 1}}\) ) is given by:
+
+\[I G_{H} = P o p D* k(P o p D)* a(N d) / 10000\qquad (5)\] \[k(P o p D) = 30* e^{-0.5*\sqrt{(P o p D)}}\qquad (6)\]
+
+Where \(PopD\) is population density and \(a(Nd)\) an observationally- estimated parameter representing ignitions per person per day, set at \(0.01^{63,66}\) .
+
+Here, we assume that an increase in fragmentation causes an increase in the probability of ignitions in direct proportion to the ratio of edge area: patch area, assuming conservatively that the human interaction with an edge can be characterised by a 1m edge depth \((\mathrm{ED}_{\mathrm{Humig}}\) , i.e. a 1m increment into the radius of the assumed circle). This 1m edge depth assumption is equivalent to the depth from the patch edge (i.e., road) which is potentially subject to increased fire ignitions due to human contact (potentially resulting in fires through arson, cigarettes, machinery, etc). The 1m edge is assumed and low, because although human effects on ignition may be occur deeper into a patch, the time averaged edge depth that they do so along the length of fragment edges is likely small, so we hold this parameter at unity.
+
+This transforms the perimeter from a length to an area, allowing us to probabilistically modulate the ignition function directly by the area represented by the total fragmentation edge area present in the grid. We then adjust the human fire ignition function \((IG_{H})\) in SPITFIRE \(^{66}\) by the product of the number of patches that fit into a grid's area \((Area_{G})\) and the cumulative fractional grid area of the ignition surface as defined by the assumed 1m ignition edge depth to arrive at a fragmentation- affected ignition function \((IG_{HFRag})\) , as illustrated in Fig. 1d.:
+
+\[IG_{HFRag} = IG_{H} + ((Area_{G} / (\pi * A E D^{2})) * ((2\pi * A E D * 1) / Area_{G}) / 10000) \quad (7)\]
+
+Thus, an AED of \(20\mathrm{m}\) yields a potentially increased ignition surface amounting to \(\sim 10\%\) of a grid cell. This probability is scaled to the ignitions person \(\mathrm{1km^{- 2}d^{- 1}}\) as a constant \((1 / 1000)\) , and results in significantly increased ignitions at low and high population density when fragmentation is high, which decreases exponentially as fragmentation decreases (AED increases). This is clearest at high population densities, where the suppression effect of high population is counteracted by fragmentation (Fig 1d).
+
+Fuel Wetness: Landscape fragmentation studies across many forested biomes have found that soil temperature and moisture was significantly higher and lower, respectively, at forest patch edge than in the patch interior \(^{37 - 41}\) , with subsequent impacts on fuel moisture and fire ignition and spread probabilities. We represent this by simply using the relative areas of patch area and edge area to define the proportion of a grid cell made subject to edge drying. Thus, we calculate the ratio of the edge area to patch area (the edge- to- patch ratio, EPR), and assuming conservatively that the 'edge- to- interior'
+
+<--- Page Split --->
+
+gradient through which temperature and soil effects are significant can be defined as the \(15\mathrm{m}\) from the edge inwards (this is the distance to which edge- interior soil moisture and temperature gradient in the above studies falls to approximately zero). This is then the area subject to increased drying and higher temperatures owing to fragmentation:
+
+\[EPR = ((\pi *AED^2) - (\pi *(AED - 10)^2)) / (\pi *AED^2) \quad (8)\]
+
+In ORCHIDEE- SPITFIRE, each fuel class in each grid cell is allocated a simulated fuel moisture content \((Wet_{FC})\) . In addition, there is a moisture threshold for each fuel class above which fuel consumption by fire no longer occurs \((Thresh_{FC_{1,2}})\) , where the subscripts refer to the \(1\mathrm{hr}\) and \(10\mathrm{hr}\) fuel classes subjected to edge drying. The \(100\mathrm{hr}\) fuel class is not affected in this scheme, as we assume that the diameter of \(100\mathrm{hr}\) fuel is sufficiently high to preclude edge drying from affecting its sensitivity to ignition. Here, both the calculated wetness and the ignition threshold were used to proxy edge fuel drying, and are both lowered by the product of the fractional edge- to interior moisture gradient with EPR.
+
+\[Wet_{FC} = Wet_{FC} - ((0.25 / 2)*Wet_{FC}*EPR)(9)\]
+
+\[Thresh_{FC_{1,2}} = Thresh_{FC_{1,2}} - ((0.25 / 2)*Thresh_{FC_{1,2}}*EPR) \quad (10)\]
+
+Whereby 0.25 is the approximate \(25\%\) fractional soil moisture gradient difference between edge and interior (0- 20m) found across the field studies cited above. Since we take the edge depth \((\mathrm{ED}_{\mathrm{M oisture}})\) to be \(20\mathrm{m}\) , and assume a linear moisture gradient from 0- 20m, half of the maximum gradient is taken as the average decrease in soil moisture owing to fragmentation over the length of the edge, and total grid fuel wetness is then affected by the fractional area occupied by this edge.
+
+Wind Speed and Rate of Spread: Increasing fragmentation results in an increasing proportion of the landscape subject to a perimeter through which wind can travel with relatively less interruption. In other words, there is less of a barrier to wind at the patch edge and local surface roughness is lower, wind speeds are higher, and a larger proportion of the landscape is subject to these higher winds as fragmentation increases (e.g., 9). We treat this in ORCHIDEE by reducing the pre- existing model wind speed reduction factors at atmospheric versus ground level by an analytically- resolved factor derived from the implicit amount of fragment edge derived from AED. Specifically, we reduce the pre- existing reduction in windspeed due forest coverage in ORCHIDEE by the grid- areal proportion given by an assumed \(16\mathrm{m}\) mean edge depth \((ED_{WIND})\) . Effective \(ED_{WIND}\) is actually \(4\mathrm{m}\) , since at any time in any patch, we assume the wind can only come from a single direction so that \(ED_{WIND}\) is divided by 4 in model implementation. We then reduce the fixed forest wind reduction factor \((WRF = 0.4)\) in SPITFIRE proportional to the areal coverage of the fragment perimeter given by effective \(ED_{WIND}\) .
+
+\[f_{EDGE} = Area_{patch} / Area_{edge} \quad (11)\]
+
+\[WRF = WRF - ED_{WIND} \quad (12)\]
+
+Increases in windspeed due to fragmentation in turn affects the fire ROS in areas that are considered substantially fragmented, leading in principle to increased BA within the patch area and (with the increase in fuel combustibility as a function of dryness and Fire Danger Index), potentially greater area- specific total combustion, fire intensity, and C emissions, potentially decoupling BA from ECO2 (Fig.1b). The fragmentation- wind relation was not applied to grasslands, because, firstly, wind has been shown to not increase grassland ROS and BA 81, and secondly, because the relative exposure differential of grass height and ground height compared to forest areas was assessed to be minimal.
+
+<--- Page Split --->
+
+## Simulation Protocol
+
+The resulting model was spun up for 40 years to allow for vegetation to reach a quasi- equilibrium biomass state. This was done by forcing the model with the vegetation, climate and atmospheric \(\mathrm{CO_2}\) of 1901- 1910, looped over that period of time, then looped again for 40 years over 1990- 2000 forcing data, to bring the model to an equilibrium consistent with the near- present day. Principal and 'control' simulations were run over the period 2000- 2013. Vegetation was imposed and not predicted using ORCHIDE's dynamic global vegetation model to reduce uncertainties associated with its output. Climate forcing data for all runs came from the CRU- NCEP v8 dataset \(^{124}\) , and vegetation imposed on the model from the ESA- LUH2 suite of projections with 13 plant functional types \(^{14}\) .
+
+A number of additional output variables were also implemented to ease assessment of the effects of fragmentation on fire behaviour. Thus, a 'counterfactual' burned area variable, giving the burned area that would have been simulated without the fragmentation code, is written to history along with fragmentation- affected burned area, to enable tracking of fragmentation's effects. Likewise, differential burned area between the fire size and human ignitions fragmentation functions, assuming they are both activated, allows the user to track the relative burned area if either only the human ignitions or fire size - fragmentation flags were activated. This could not be done across all fragmentation- fire adaptations because of a necessarily large duplication of code and simulation runtime inefficiencies that would result.
+
+## Sensitivity Analysis
+
+We created synthetic maps of factor- two levels of homogenous global AED levels to assess the global change in burned area for each biome type (tropical, temperate, boreal) resulting from a factor- 2 change in fragmentation level. AED (not road density, which would cause differential AED because of grid area heterogeneity) was homogenised globally at 2- factor levels [of AED \(_{F2} = 39.0625\) , 78.125, 156.25, 312.5, 625, 1250, 2500, 5000, 10000, 20000 metres], permitting analysis of the biome- scale effects of fragmentation on fire independent of historical fragmentation trajectory, by calculating the global average change in burned area for each homogenised AED bin and biome. The model was run over a three- year period (2001- 2003 inclusive) for each \(\mathrm{RD}_{F2}\) level. This period was chosen because it incorporates a mixture of moderate El Niño and La Niña years, to limit its signal in simulated fire behaviour to be averaged out in annualised postprocessing. We initially maintained the existing global population distribution for the simulated years to gauge whether population density may cause a change in sign of sensitivity, and hence warrant further factorial analysis. Sensitivity was evaluated as the fractional change in BA \((\Delta fBA_{F2})\) per grid cell due to a two- fold increase in fragmentation (halving of AED):
+
+\[\Delta fBA_{F2} = ((BA_{AEDF2[1 / 2]}) - (BA_{AEDF2[1]}) / (BA_{AEDF2[1]})GRID \quad (13)\]
+
+Where \(BA_{AED1 / 2}\) is the burned area at an AED of half the value of \(BA_{AEDF2[1]}\) . For each of the ten sensitivity simulations, biomes were assigned to each grid cell by identifying the PFT in each grid that contributed the maximum amount of simulated fire \(\mathrm{CO_2}\) emissions within that grid cell. This was done to identify the actual vegetation that burned in a grid cell, and hence the fire- relevant vegetation type, as opposed to using the maximum value between vegetation fractions of each PFT assigned to a grid cell, given that within a grid, certain vegetation types may have a fractionally higher propensity to burning than their areal coverage. At global scale, the individual PFTs were then aggregated to tropical, temperate, boreal, C3 and C4 grassland/ savannah bins. BA in ORCHIDEE- SPITFIRE is not PFT- disaggregated. However, \(\mathrm{CO_2}\) emissions from burning are. This gives a reasonable proxy of what vegetation is burning in a grid cell. Each grid cell was assigned a PFT identity according to that PFT which produced the highest fire \(\mathrm{CO_2}\) emissions over the course of each sensitivity simulation; global biome- specific masks were then created by aggregating boreal tropical and temperate forest types, and \(\Delta fBA_{F2}\) calculated for biome.
+
+## Analysis
+
+<--- Page Split --->
+
+RD was recently estimated in a statistical generalised linear modelling study to be a strong negative predictor for BA globally71. We evaluated the statistical relationship between BA and road density that emerges from our simulations to compare with the same regression performed by ref. (71). We transform these two variables by taking the square root of road density and the applying the logit- link function to monthly burned area. The latter requires reducing a variable (burned area) to a probabilistic value, which in this case means a conversion to fraction of grid cell area \((p)\) . The logit function is then given by:
+
+\[Logit(BA) = Ln\left(\frac{p}{1 - p}\right) \quad (14)\]
+
+To estimate fragmentation- fire behaviour at biome scale, we found the maximum PFT- type that burned the most in carbon terms over the simulation period in each grid cell, by iteratively searching out the maximum value of time- aggregated \(\mathrm{CO_2}\) emissions per PFT in each grid. This was done because burned area in SPITFIRE is not output in PFT- specific fractions, while \(\mathrm{CO_2}\) emissions are, and informs us of what biome fire activity is most prevalent over time in each grid cell, such that these grid cells are collectively used to characterise global biome (PFT) - scale fire behaviour. All tropical, temperate and boreal PFTs were bundled into single biome bins to simplify explanation and analysis. Fig. 4a was produced by assigning Boolean numeric values to simulation average changes in BA and ECO2, then combining these to assign coupled/decoupled direction- of- change.
+
+## Data
+
+UAF was obtained from ref. (44). Fire size data used in Fig. 3c is sourced from FRYv2.087, updated from FRYv1.088 with single ignition point polygons delineation from ref. (86), based on pixel information MCD64A1 and FireCC151, as recently used in ref. (85). Long- term BA data for South- east Asia from105,106 was obtained from https://climate.esa.int/es/odp/#/project/fire (accessed 05/06/2023), while deforestation and pre- and post 2000 average tree plantation grid data were obtained from refs. (107,108). Fragmentation and fire data for Brazil in Fig. 3a were provided by ref. (102) and upscaled using CDO's conservative remapping function from 10km to 0.5 degree grid resolution. All other datasets above were interpolated bilinearly in CDO to 0.5 degree resolution. Postprocessing was performed using NCL, Panoply, CDO and R, with R maps created including the following packages: ncdf4, ggplot2, raster, maptools, rgdal, rgeos, maps, ggplot, sp, geosphere, rColorBrewer, ggplot, lattice, dplyr, tidyr, plyr.
+
+<--- Page Split --->
+
+
+| Variable | Value | Description | Rationale |
| auAF | 2.68*104 | Urban area RL removal regression coefficient (RL/Urban Area Fraction). | High RL urban areas unlikely to have significant BA removed to isolate 'fragmentation' versus 'urban' effect. |
| n pat forest | 1 | Parameter multiplier allowing individual forest fire size to exceed patch size by this factor, otherwise limited by it. | No data to suggest that this size can or cannot be exceeded given patch size unless extreme/crown fire |
| n pat grass | 1.25 | Parameter multiplier allowing individual grass fire size to exceed patch size by this factor, otherwise limited by it. | Value over unity based on assumption that some proportion of fragmented grasslands may allow spread beyond patch due to proportion of fine fuel |
| FSTTREE | conditional, empirically derived | Tree fire spread threshold, a flame height, tree height, canopy width dependent 'crown fire' condition | Allows fire to spread beyond patch size when fuel dryness, wind speed and allow flame height to exceed canopy |
| FSTGRASS | conditional, empirical | Grass fire spread threshold, based on areal fuel density | Allows fire to spread beyond patch size when fuel density exceeds threshold. |
| EDwind | 16m | Edge depth through which wind infiltration is altered by fragment edge | Assumes wind comes from a 1 direction in a given patch, patch average edge depth is approx. to 4m (16/4) in a given fire. |
| EDMoisture | 20m | Edge depth through which fuel moisture affected by fragment edge | Empirically-derived (Methods), assumes linear gradient of drying, and fuel drying itself is scaled quadratically downward with fuel type to reflect radial thickness of model fuel classes. |
| EDhumid. | 1m | Average depth through which human activities there affect ignition probability | This is assumed because although effects may be deeper, the time averaged edge depth along fragment edges is likely small. |
+
+Table 1: Key components of the fragmentation module, their value, description and rationale. See Methods for detailed description and calibration of each parameter.
+
+# Competing Interests
+
+The authors declare no competing interests.
+
+# Data Availability
+
+The data presented in this study are available on request from the corresponding author.
+
+# Code Availability
+
+The version of ORCHIDEE-MICT-SPITFIRE developed here is published (DOI: ) and can be downloaded at the request of the corresponding author.
+
+# Acknowledgements
+
+SPKB was funded by research project FirEUrisk, a European Union Horizon 2020 research and innovation program under Grant Agreement No. 101003890.
+
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+112. Van Der Werf, G. R. et al. Global fire emissions estimates during 1997–2016. Earth Syst Sci Data 9, 697–720 (2017).113. Aragão, L. E. O. C. et al. 21st Century drought-related fires counteract the decline of Amazon deforestation carbon emissions. Nat Commun 9, 536 (2018).114. Mollicone, D., Eva, H. D. & Achard, F. Human role in Russian wild fires. Nature 440, 436–437 (2006).115. Zheng, B. et al. Increasing forest fire emissions despite the decline in global burned area. Sci Adv 7, (2021).116. Laurance, W. F. et al. A global strategy for road building. Nature 513, 229–232 (2014).117. Laurance, W. F. et al. Ecosystem Decay of Amazonian Forest Fragments: a 22-Year Investigation. Conservation Biology 16, 605–618 (2002).118. Plowright, R. K. et al. Land use-induced spillover: a call to action to safeguard environmental, animal, and human health. The Lancet Planetary Health vol. 5 e237–e245 Preprint at https://doi.org/10.1016/S2542-5196(21)00031-0 (2021).119. Skinner, E. B., Glidden, C. K., MacDonald, A. J. & Mordecai, E. A. Human footprint is associated with shifts in the assemblages of major vector-borne diseases. Nat Sustain 6, 652–661 (2023).120. Kemp, L. et al. Climate Endgame: Exploring catastrophic climate change scenarios. Proceedings of the National Academy of Sciences 119, e2108146119 (2022).121. Yue, C. et al. How have past fire disturbances contributed to the current carbon balance of boreal ecosystems? Biogeosciences 13, 675–675 (2016).122. Bowring, S. P. K., Jones, M. W., Ciais, P., Guenet, B. & Abiven, S. Pyrogenic carbon decomposition critical to resolving fire’s role in the Earth system. Nat Geosci 15, 135–142 (2022).123. Schulzweida, U. CDO User Guide. Preprint at https://doi.org/10.5281/zenodo.7112925 (2022).124. Viovy, N. CRUNCEP Version 7 - Atmospheric Forcing Data for the Community Land Model. Research Data Archive at the National Center for Atmospheric Research, Computational and Information Systems Laboratory https://doi.org/10.5065/PZ8F-F017 (2018) doi:https://doi.org/10.5065/PZ8F-F017.
+
+<--- Page Split --->
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+## Supplementary Files
+
+This is a list of supplementary files associated with this preprint. Click to download.
+
+MSSupplement.pdf
+
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+<|ref|>title<|/ref|><|det|>[[44, 106, 904, 208]]<|/det|>
+# Changes in limiting factors for forager population dynamics in Europe across the Last Glacial-Interglacial Transition
+
+<|ref|>text<|/ref|><|det|>[[44, 229, 516, 316]]<|/det|>
+Alejandro Ordonez ( \(\boxed{ \begin{array}{r l} \end{array} }\) alejandro.ordonez@bio.au.dk) Aarhus University Felix Riede Aarhus University
+
+<|ref|>text<|/ref|><|det|>[[44, 358, 102, 376]]<|/det|>
+Article
+
+<|ref|>text<|/ref|><|det|>[[44, 396, 136, 414]]<|/det|>
+Keywords:
+
+<|ref|>text<|/ref|><|det|>[[44, 433, 348, 453]]<|/det|>
+Posted Date: December 22nd, 2021
+
+<|ref|>text<|/ref|><|det|>[[44, 472, 474, 491]]<|/det|>
+DOI: https://doi.org/10.21203/rs.3.rs- 1173690/v1
+
+<|ref|>text<|/ref|><|det|>[[44, 509, 910, 551]]<|/det|>
+License: © \(\circledast\) This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+<|ref|>text<|/ref|><|det|>[[42, 588, 950, 630]]<|/det|>
+Version of Record: A version of this preprint was published at Nature Communications on September 6th, 2022. See the published version at https://doi.org/10.1038/s41467- 022- 32750- x.
+
+<--- Page Split --->
+<|ref|>title<|/ref|><|det|>[[135, 84, 861, 128]]<|/det|>
+# Changes in limiting factors for forager population dynamics in Europe across the Last Glacial-Interglacial Transition
+
+<|ref|>text<|/ref|><|det|>[[336, 148, 660, 167]]<|/det|>
+Alejandro Ordonez \(^{1,2,4}\) & Felix Riedel \(^{1,3}\)
+
+<|ref|>text<|/ref|><|det|>[[185, 186, 815, 205]]<|/det|>
+1, Center for Biodiversity Dynamics in a Changing World, Aarhus University
+
+<|ref|>text<|/ref|><|det|>[[312, 224, 684, 242]]<|/det|>
+2, Department of Biology, Aarhus University
+
+<|ref|>text<|/ref|><|det|>[[206, 260, 790, 279]]<|/det|>
+3, Department of Archaeology and Heritage Studies, Aarhus University
+
+<|ref|>text<|/ref|><|det|>[[179, 297, 819, 315]]<|/det|>
+4, Center for Sustainable Landscapes under Global Change, Aarhus University
+
+<|ref|>sub_title<|/ref|><|det|>[[75, 340, 198, 357]]<|/det|>
+## 8 Abstract
+
+<|ref|>text<|/ref|><|det|>[[113, 379, 883, 720]]<|/det|>
+Population dynamics set the framework for human genetic and cultural evolution. For foragers, demographic and environmental changes correlate strongly, although the causal relations between different environmental variables and human responses through time and space likely varied. Building on the notion of limiting factors, namely that the scarcest resource regulates population size, we present a statistical approach to identify the dominant climatic constraints for hunter- gatherer population densities and then hindcast their changing dynamics in Europe for the period between 20kyBP to 8kyBP. Limiting factors shifted from temperature- related variables during the Pleistocene to a regional mosaic of limiting factors in the Holocene. This spatiotemporal variation suggests that hunter- gatherers needed to overcome very different adaptive challenges in different parts of Europe, and that these challenges vary over time. The signatures of these changing adaptations may be visible archaeologically. In addition, the spatial disaggregation of limiting factors from the Pleistocene to the Holocene coincides with and may partly explain the diversification of the cultural geography at this time.
+
+<|ref|>sub_title<|/ref|><|det|>[[118, 741, 230, 758]]<|/det|>
+## 23 Introduction
+
+<|ref|>text<|/ref|><|det|>[[115, 780, 882, 900]]<|/det|>
+As the link between exogenous environmental factors and organismal physiology, demography is vital for understanding evolution, including cultural evolution \(^{1}\) . The relevance of past demography for understanding culture change in prehistory specifically has long been recognised \(^{2,3}\) . Demographic conditions impinge on cultural transmission \(^{4- 6}\) but are also clearly implicated in the boom- and- bust patterns of population fluctuations – including periodic
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[113, 83, 883, 325]]<|/det|>
+extirpations – suggested to have characterised the demographic histories of prehistoric foragers and incipient farmers in many regions \(^{7 - 10}\) . Numerous recent studies have focused on the drivers of population expansion to explain the pattern and timing of human colonisation using a variety of ecological comparative approaches \(^{11,12}\) (but see ref. \(^{13}\) for a discussion of points of concern of such approaches). Yet, as foragers have a high intrinsic growth rate, population increase is, in the absence of cultural or environmental constraints, the default demographic trajectory. Evidently, however, past populations did not grow substantially, making it particularly germane to understand the factors that curtailed population growth \(^{14,15}\) . The approach adopted here builds on the central theorem that population sizes would always be regulated by the scarcest resource: the limiting factor \(^{16}\) .
+
+<|ref|>text<|/ref|><|det|>[[115, 346, 883, 562]]<|/det|>
+Foragers of the recent past persisted in a wide variety of environments, from the frigid Arctic to tropical rainforests. Each environment offered particular opportunities but also posed particular challenges. While several earlier studies have pointed at temperature or seasonality as key drivers of forager demography at global or continental scales \(^{17,18}\) , the specific factors that would have capped or even depressed population size are likely to have varied in both space and time. Only in understanding these limiting factors can we begin to conduct targeted investigations of how specific forager populations may have overcome them via either population- specific genetic adaptations or the sort of ‘extra- somatic adaptions’ \(^{19}\) that are so characteristic of human culture.
+
+<|ref|>text<|/ref|><|det|>[[115, 584, 883, 824]]<|/det|>
+In this study, we focus specifically on forager palaeodemography in Europe from the Last Glacial Maximum (Greenland Stadial 2, GS2) to 8000 years before present (BP), a climatically volatile period also known as the Last Glacial- Interglacial Transition \(^{20}\) . Previous studies have identified broad patterns of population growth and expansion using different methods commonly used in ecological analyses \(^{12,21 - 23}\) . Correlations between temperature and overall population density have been identified, suggesting overall increases in energy availability as the key driver of the increase in human population size following the end of GS2 \(^{17}\) . However, regional population collapses have been suggested to have occurred asynchronously and in different places \(^{9,24}\) . This raises the question of which specific limiting factors acted on forager populations and how these limiting factors varied over space and time.
+
+<|ref|>text<|/ref|><|det|>[[115, 846, 883, 914]]<|/det|>
+Like many related studies, we begin with the global ethnographic hunter- gatherer dataset originally assembled by Binford and now digitally available \(^{25,26}\) . We couple this to a suite of quantile Generalised Additive Models (qGAMs) to describe changes in maximum (90-
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 83, 883, 323]]<|/det|>
+percentile) population density as a univariate function of environmental variables related to the effect of temperature and precipitation on available energy, annual variability, and productivity. We then use the downscaled centennial average- conditions of each predictor derived from a transient climatic simulation (CCSM3 SynTrace- 21 \(^{27}\) ) and the best performing univariate qGAM models to hindcast hunter- gatherer population densities between 20ky to 8kyBP. We define the limiting environmental factor as the variable predicting the lowest population density at a given place and time. This approach allows us to query the spatial dynamics of forager limiting factors across the Last Glacial- Interglacial Transition and derive specific hypotheses as to which selection pressures acted most strongly on different forager communities in Late Pleistocene and Early Holocene Europe.
+
+<|ref|>text<|/ref|><|det|>[[115, 346, 883, 536]]<|/det|>
+Our analysis demonstrates that the dynamics on limiting factors for forager population densities showed marked differences in space and time. Temperature- related variables were the main limiting factors during the Pleistocene, whereas the Early Holocene was characterised by a regional mosaic of limiting factors. Furthermore, our model reveals geographic differences in the limiting factors between Fennoscandia, Southern, Central, and Eastern Europe. The spatiotemporal variation in limiting factors suggests that hunter- gatherers needed to overcome very different adaptive challenges in different parts of Europe across this period of climatic and environmental change.
+
+<|ref|>sub_title<|/ref|><|det|>[[118, 560, 313, 577]]<|/det|>
+## Results and discussion
+
+<|ref|>text<|/ref|><|det|>[[115, 599, 883, 741]]<|/det|>
+The relation between the environmental factors explored here and population density assessed using qGAMs (Fig. 1) was negative for temperature seasonality, positive for effective temperature, winter/fall temperature, and unimodal for the warmest temperature. Seasonal, monthly, and extreme precipitation, and topographic heterogeneity showed an overall flat trend (supplementary figure S1), yet these also differed from a mean model as determined by the high deviance explained (Table 1).
+
+<|ref|>text<|/ref|><|det|>[[115, 763, 883, 905]]<|/det|>
+No single environmental variable explained more than \(81\%\) of the population density variation among ethnographic foraging societies (Table 1). However, the performance of more complex multivariate models using machine learning approaches \(^{12}\) or Structural Equation Models \(^{11}\) that combine three or more variables perform only marginally better. The five environmental variables with the highest predictive accuracies (based on the deviance explained; Table 1) were Temperature of the Coldest Month; Temperature Seasonality; Winter Mean Temperature;
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 83, 883, 375]]<|/det|>
+Effective Temperature and Mean Annual Temperature. These variables display high collinearity (Pearson correlations range between 0.83 and 0.96), suggesting that temperature overall best captures the effect of temperature minima and energy availability in relation to forager demography. Two of the variables (Temperature of the Coldest Month and Winter Mean Temperature) represent the effect of extreme cold conditions (= winter mortality) on demographic trends and/or ecological performance \(^{28,29}\) . The other two (Mean Annual Temperature, Effective Temperature, Temperature Seasonality) relate to overall energy availability \(^{28}\) . These factors are linked to higher environmental productivity and are expected to increase available resources, leading to higher population densities, as already suggested by a plethora of earlier studies \(^{30 - 32}\) . Other variables related to environmental productivity have lower predictive accuracy (explained deviances \(< 0.79\) , see Table 1) and lower collinearity with other variables related to energy availability.
+
+<|ref|>text<|/ref|><|det|>[[115, 395, 883, 562]]<|/det|>
+Most seasonal temperature and precipitation variables showed some of the lowest explained deviances (Table 1), indicating that seasonal climatology most likely did not impose a direct limit on past forager populations densities in Late Pleistocene/Early Holocene Europe (contra \(^{18}\) ). Topographic complexity, a variable shown to influence population density in other studies \(^{11}\) , showed only above- average predictive accuracy (Table 1). Like seasonal temperature and precipitation, the topographic complexity effect on population density may be indirect and mediated by variables describing available resources or climate extremes.
+
+<|ref|>text<|/ref|><|det|>[[115, 583, 883, 899]]<|/det|>
+Besides the well- known limitations of using foragers of the recent past for reconstructing prehistoric social and demographic conditions \(^{13}\) , the issue of model truncation and non- analogy of climatic conditions present themselves as major potential caveats. Climatic non- analogy here refers to the problem of projecting models beyond the domain for which they have been calibrated \(^{33 - 35}\) . Model truncation refers to the incomplete characterisation of hunter- gatherer populations' total climate space \(^{36 - 38}\) and has been a long noted limitation of ethnographic analogies for prehistoric foragers \(^{39}\) . However, it has also been shown that the dataset assembled by Binford is not critically biased in terms of forager niche space \(^{25}\) . Likewise, we do not see either truncation or severe non- analogy in a temporal context, as the climate space observed at different moments during the 21- to- 8kyBP period show broad overlaps with the climate space used to develop our qGAMs (Fig. 2; supplementary figure S2). This means that our models are not unduly extrapolating into environmental regions where there is no clear indication of how population density changes as a function of evaluated
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 83, 882, 202]]<|/det|>
+climatic variables. By the same token, it is necessary to highlight that the distributions of some paleoclimatic conditions – including all those with the highest predictive values in our models – are skewed towards the lower end of contemporary values. This is especially pronounced for the Pleistocene and variables such as maximum temperatures (Fig. 2), affecting our inference power on changes in population densities at these extremes.
+
+<|ref|>text<|/ref|><|det|>[[115, 223, 883, 515]]<|/det|>
+Our models indicate that the estimated human population size in Europe was the lowest at \(22\mathrm{kyBP}\) (\~294,000 individuals) and largest at \(8\mathrm{kyBP}\) (\~706,000 individuals). Also, based on our model, we show that at the warmest point of the Greenland Interstadial 1 (\~14.7kyBP; GI1), Europe's human population size estimated by our model was \~617,000 individuals; a number that decreased to \~607,000 individuals at the coldest point of the Greenland Stadial 1 (\~11.7kyBP; GS1). Overall occupied area (number of inhabited cells) was \(62.4\%\) of the region at the end of the GS2 (\~22kyBP). This number increased to \~98.8% during GI 1, decreased to \~97.7% during the GS 1, and reached the highest point (\~99.8%) by the mid- Holocene (\~8kyBP). Taken at face value, these values are gross overestimation of actual sustained forager land- use at this time. Forager land- use was evidently extensive, including largely empty spaces \(^{40}\) . By the same token, these numbers are in line with archaeologically derived trends of overall population growth and expansion during this time (red lines; Fig. 3A).
+
+<|ref|>text<|/ref|><|det|>[[115, 534, 882, 702]]<|/det|>
+During the evaluated period, the mean population density in the inhabited area varied between 2.6 and 6.2 persons per \(100\mathrm{km}^2\) ( \(\mathrm{GS2} = 2.7\mathrm{p} / 100\mathrm{km}^2\) ; \(\mathrm{GI1} = 5.25\mathrm{p} / 100\mathrm{km}^2\) ; \(\mathrm{GS1} = 5.17\mathrm{p} / 100\mathrm{km}^2\) ; \(\mathrm{mHol} = 6\mathrm{p} / 100\mathrm{km}^2\) ; Fig. 3A). Although the temporal patterns in average population density derived from our limiting- factor analysis are similar to those of core area estimates by Bocquet- Appel, et al. \(^{21}\) (blue areas, Fig. 3A), these do not match numerically due to our focus on maximum population densities. Moreover, our population density estimates are consistent with those suggested by Tallavaara, et al. \(^{12}\) , and more recently Kavanagh, et al. \(^{11}\) .
+
+<|ref|>text<|/ref|><|det|>[[115, 723, 883, 916]]<|/det|>
+The estimated pattern of human population density (Fig. 3) indicates a population expansion starting almost 3ky after the ice sheet began to recede from its maximum extent 22kabP. Evaluating the spatially explicit predictions of our model, we find that at the end of the GS2, hunter- gatherer societies in Europe extended as far north as central France, southern Germany and southern parts of modern- day Ukraine (Fig. 4A), a pattern that is consistent with archaeological evidence for the recolonisation of Europe \(^{41 - 44}\) . Our models also suggest that by the end of the GS2, a relatively large proportion of the European continent may have been at least sporadically inhabited (\~62%; Fig. 4A- B), with the Mediterranean region up to the north
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 83, 883, 350]]<|/det|>
+of the Alps showing population densities up to 12 individuals/100 km \(^2\) . This restricted occurrence pattern is supported by the archaeological record \(^{40}\) . Furthermore, our model indicates a persistent southwest-northeast gradient of decreasing population densities in this southern region, with the most populated areas occurring in the Iberian Peninsula and the Mediterranean region (Fig. 4A- B). From this point, the recolonisation of the continent began at \(\sim 17\mathrm{kyBP}\) (Fig. 3), reaching almost all the way to Scandinavia by the start of GI1 \(\sim 14.7\mathrm{kyBP}\) , Fig. 4c). Earlier archaeological \(^{45,46}\) and modelling studies \(^{22}\) have already suggested that this colonisation was rapid but also that it proceeded in several steps where both climate and landforms served as barriers to expansion \(^{47}\) . Our results expand on this discussion by highlighting that different climate variables limited human dispersal for a given location and that these limits changed over time.
+
+<|ref|>text<|/ref|><|det|>[[115, 370, 883, 808]]<|/det|>
+Using our limiting- factor approach, we improve our understanding of demographic mechanisms in Late Pleistocene and Early Holocene European hunter- gatherer societies by highlighting the spatiotemporal changes in the main factor restricting population density (Fig. 4F- T; and Fig. 5). Our modelled population density estimates can be linked to regional or local narratives or empirical tests of changes in occurrences and population sizes (e.g., refs. \(^{25,48}\) ). The changes in limiting factors suggested in our models can be divided into three periods. The first period spans from the termination of GS2 to the onset of interstadial warming at around \(15\mathrm{kyBP}\) . During this period, energy availability measured as effective temperature (ET) was the main factor limiting population density across most of the continent ( \(\sim 50\%\) of cells; Fig. 5A). Mean temperature of the warmest month (MWM) was also a strong limiting factor ( \(\sim 30\%\) of cells; Fig. 5). However, limitations imposed by winter temperatures, could be also considered as likely limiting factors based on estimates of average conditions at a continental scale (Fig. 5B). The range of experienced temperature conditions, represented by ET, can thus be seen as the major limiting factor shaping human population density in Europe between GS2 and the initiation of warming associated with GI1 (Fig. 5A). With temperature related variables as the overwhelming limiting factor during this period (Fig. 5B), it is likely that the emergence of sophisticated sewing techniques and pyrotechnology \(^{49}\) facilitated the persistence and even moderate expansion of populations at this time.
+
+<|ref|>text<|/ref|><|det|>[[117, 830, 881, 898]]<|/det|>
+The second period covers the rapid warming (GI1) as well as cooling (GS1) events between \(14.7\mathrm{kyBP}\) to \(11.7\mathrm{kyBP}\) . During this period, the importance of ET steadily decreased, and mean temperature of the warmest month ( \(\sim 27\%\) of cells) and temperature seasonality ( \(\sim 23\%\) of cells)
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 83, 882, 202]]<|/det|>
+became the main factors limiting population density (Fig. 5A). The decrease of ET as a limiting factor indicates that during this period of rapid change, it was not temperature but energy availability (due to the link between MWM and productivity) what determined human population density in Europe (Fig. 5B). Our models suggest that overall population densities increased (Fig. 3), although a temporary reduction associated with GS1 cooling is also clear.
+
+<|ref|>text<|/ref|><|det|>[[115, 223, 877, 514]]<|/det|>
+The last period encompasses the Early Holocene from its onset at 11.7ky to 8kyBP. Here, temperature of the warmest month increased in importance as the main limiting factor ( \(\sim 50\%\) of cells; Fig. 5A), while the effect of ET became marginal (Fig. 5B). Also, temperature seasonality became a critical limiting factor in many regions (Fig. 4I, J). These patterns indicate a complete shift from experienced temperature conditions to available resources as the main limiting factor of European forager population densities during the Holocene. Such a shift is interesting as the Early Holocene also witnessed a significant reorganisation of forager socio- ecological systems towards more varied use of resources and more pronounced territoriality focused on spatial circumscribed and regionally available resources, and a widespread shift from immediate- return to delayed- return economies. This also aligns with the idea that decreasing territory sizes and more marked boundary formation directly relate to the spatiotemporal dynamics of resource availability \(^{50}\) .
+
+<|ref|>text<|/ref|><|det|>[[115, 529, 874, 796]]<|/det|>
+The regional disaggregation of patterns in limiting factors shows strong differences between Fennoscandia, Southern, Central, and Eastern Europe (Fig. 4F- J). These patterns are persistent over time, with regional shifts linked to the main feature of temperature change. In Fennoscandia and the British Isles, effective temperature was the main limiting factor for most of the Late Pleistocene. This changed after the onset of the Holocene when seasonal temperatures and precipitation became the dominant limiting factor. In Eastern and Western Europe, effective temperature was the main limiting factor at the end of the GS2 but were replaced by Winter temperature and MWM at the onset of the GI1. During the GS1 and the early Holocene, the main limiting factors where MWM and TS. In southern Europe and especially in the Mediterranean, MWM was the main limiting factor throughout most of the GS2, after which precipitation became the dominant limiting factor.
+
+<|ref|>text<|/ref|><|det|>[[115, 812, 877, 906]]<|/det|>
+Our analyses show that the main limiting factors that limited forager population densities across the Last Glacial- Interglacial Transition in Europe changed markedly over time (Fig. 5) and space (Fig. 4F- J). We can now return to the archaeological record with these insights, searching for material culture proxies that may have allowed these past communities to
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 83, 875, 225]]<|/det|>
+overcome these particular limiting factors \(^{51 - 53}\) . While these may have related to water availability (= containers) in the Mediterranean, they are predicted to relate to temperature (= clothing or pyrotechnology) in higher latitudes. Where such technologies are absent in the archaeological record, we can also begin to think about population vulnerability to climatic factors at regional levels. Especially in higher latitudes, population fluctuations may have been pronounced at the sub- centennial scale, to the point of local population extirpations \(^{9,54}\) .
+
+<|ref|>text<|/ref|><|det|>[[115, 243, 875, 410]]<|/det|>
+Finally, the marked shift in limiting factors at the onset of the Holocene may be indicative of a greater focus on resource access at a regional scale. The spatiotemporal dynamics of resource availability have a direct impact on land- use, mobility, territoriality, and the formation of information networks in foragers \(^{50,55}\) . In the Holocene, regional cultural signatures became more pronounced and borders between different cultural zones more strongly articulated. This itself may be seen as a response to the fundamental shift in limiting factors we have identified in our models.
+
+<|ref|>text<|/ref|><|det|>[[115, 426, 876, 594]]<|/det|>
+Seeking correlations between environmental variables and past human population densities is not a new endeavour. Following recent calls for more theoretically- informed rather than mere statistical explorations of this relationship \(^{13}\) , we highlight that while the environment can be said to strongly constrain forager lifeways, precisely which aspects of the environment do so at any one place and time vary. Our approach offers a robust way to infer the hierarchy of limiting factors and hence provide a spatiotemporal hypothesis for major selection pressures acting on forager populations in the past.
+
+<|ref|>text<|/ref|><|det|>[[115, 611, 864, 851]]<|/det|>
+Independent palaeodemographic estimates broadly support our models, but many questions remain. Climate models, for instance, only indirectly capture the interaction of human population dynamics with changes in biodiversity and ecosystem compositions. In addition, the match between modelled population densities and the field- validated presence of Late Pleistocene/Early Holocene populations is not equally robust everywhere. These deviations may stimulate targeted field- testing with the aim of assessing whether and why population densities periodically fell short of or exceeded modelled values. In conjunction with legacy data derived from archives and the literature, such fieldwork can also shed light on the specific strategies these past foragers employed to mitigate the risks posed by specific limiting factors.
+
+<|ref|>text<|/ref|><|det|>[[115, 868, 865, 912]]<|/det|>
+Small- scale societies have a variety of adaptive options at their disposal (see ref. \(^{56}\) ), most of which can be captured through archaeological proxies \(^{57 - 59}\) . Our limiting factor model here
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 83, 877, 325]]<|/det|>
+serves as an explicit spatiotemporal hypothesis of which risk mitigation measures should be in use at which time and place. The successful identification of these would throw significant new light on the resilience and adaptation – or lack of it – during this climatically and environmentally tumultuous time. Finally, the marked shifts in dominant limiting factors identified in our models map into the results of Late Pleistocene/Early Holocene Earth System tipping points recently discussed by ref. \(^{60}\) . It is likely that, just like analogues anthropogenic warming in the present, these periods of rapid and substantive climatic change would have created challenges for contemporaneous forager populations. In an effort to align archaeological perspectives on climate change with the quandaries of our time (cf. \(^{61}\) ), future research would be well- advised to focus on such periods of major systemic transitions.
+
+<|ref|>sub_title<|/ref|><|det|>[[117, 348, 196, 365]]<|/det|>
+## Methods
+
+<|ref|>sub_title<|/ref|><|det|>[[117, 389, 505, 407]]<|/det|>
+## Models of hunter-gatherers' population density
+
+<|ref|>text<|/ref|><|det|>[[115, 428, 882, 669]]<|/det|>
+We use ethnographic data on terrestrially adapted mobile hunter- gatherers and their climatic space \(^{25}\) to construct a series of statistical models that predict hunter- gatherer population density based on one of 16 climatic predictors (see Table 1 for rezoning and source). While there are important caveats \(^{13}\) , this approach builds on multiple ethnographic studies showing a link between climate on the one hand and hunter- gatherer diet, mobility, and demography on the other \(^{55,62- 66}\) . This statistical connection is the basis of recent studies focused on building complex multivariate models of population dynamics \(^{11,12,67}\) . A benefit of our statistical approach is that it overcomes some significant limitations, such as lack of quantitative population size data based on the archaeological record itself or genetic data, each associated with their own limitations (as reviewed in refs. \(^{2,12}\) ).
+
+<|ref|>text<|/ref|><|det|>[[115, 690, 882, 907]]<|/det|>
+We omitted four observation classes in the original ethnographic dataset in defining the association between hunter- gatherer population density and climatic predictors. First, we removed observations associated with food producers. Second, sedentary populations or those that reside at a single location for \(>1\) year. Third, populations using aquatic resources ( \(>30\%\) of their dietary protein comes from aquatic environments, as defined in \(^{68,69}\) ). Forth, we excluded all observations related to horse- riding populations. The filters employed here correspond to those used by Tallavaara, et al. \(^{12}\) to maximise the match between ethnographic data and the current knowledge of the highly mobile and overwhelmingly terrestrially oriented lifestyles of Late Pleistocene/early Holocene hunter- gatherers in Europe. The implemented
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 83, 883, 250]]<|/det|>
+filters are less restrictive than those used by other studies that have sought to reconstruct forager population dynamics during this time \(^{70}\) and thus allow for a relatively large degree of behavioural variation. This is important given that increasing evidence of marine and lacustrine resource use is emerging for at least certain times and regions in Late Pleistocene Europe \(^{71- 73}\) , and that a marked diversification characterises the resource base of early Holocene foragers. Finally, these filters remove any population using external supplements to their hunter- gatherer lifestyle, resulting in a database including information on 127 populations.
+
+<|ref|>text<|/ref|><|det|>[[115, 272, 883, 489]]<|/det|>
+We used climate data on historical averages (1970- 2000) for 19- climate variables (Table 1) to build our ethnography- based population density models. These were obtained from the Worldclim version 2.1 \(^{74}\) at a 10- ArcMin resolution. Importantly, we used Worldclim data instead of climatic variables directly available from the ethnographic dataset to ensure comparability between climatic variables not in the database (i.e., seasonal means). Equally importantly, this approach prevents any estimation biases due to differences between the data used to define climate- density relations and paleoclimatic surfaces (see the section estimating human populations density across the Pleistocene- Holocene transition below) used to estimate population density changes and limiting factors over time.
+
+<|ref|>text<|/ref|><|det|>[[115, 510, 883, 850]]<|/det|>
+Initially, we model how population densities of hunter- gatherer communities change along current environmental gradients using Quantile Generalised Additive Models (qGAMS). Modelling such dynamics using qGAMs offers a transparent way to determine the non- linear changes in different percentiles of a response variable (= population densities) to one or multiple environmental variables. This approach is commonly used in the ecological literature to determine the likelihood of occurrence or abundance of a given species under a particular environmental regime \(^{75- 79}\) but has never before been applied to human palaeodemography. In contrast to previous studies evaluating past human population density changes, we do not consider the synergies between multiple climatic variables when describing the relation between population densities and climate. Instead, we focus on the individual effects of evaluated variables on the top 90- percentile of population densities to identify the most pronounced limiting factor that acted on palaeodemographic growth. The tendencies in population densities as a function of environmental variables were consistent for different percentiles (see supplementary figures S1).
+
+<|ref|>text<|/ref|><|det|>[[115, 871, 881, 914]]<|/det|>
+The population density derived from the ethnographic data followed a log- normal distribution, so these were log- transformed for subsequent analyses, and a gaussian response distribution
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 83, 882, 250]]<|/det|>
+was used in our qGAMs models. Annual, monthly, and seasonal precipitation variables were similarly transformed. The ability of each of the evaluated variables to predict hunter- gatherer population densities was determined using the mean deviance explained (1 - (Residual Deviance/Null Deviance)). These were calculated both for the whole dataset, and using a 1000- fold cross- validation approach (70% random sample for calibration and 30% for validation). All models and prediction accuracy estimates were implemented in R (version 3.6; 80) using the mgcv (version 1.8.24; 81) and qgam (version 1.3.2; 82) packages.
+
+<|ref|>text<|/ref|><|det|>[[118, 272, 784, 291]]<|/det|>
+Estimating human populations density across the Pleistocene- Holocene transition
+
+<|ref|>text<|/ref|><|det|>[[115, 314, 882, 480]]<|/det|>
+The monthly average temperature and annual precipitation values for Europe for the 21ky to 8kyBP period come from the CCSM3 SynTrace paleoclimate simulations 83. These were biased- corrected and downscaled to \(0.5^{\circ} \times 0.5^{\circ}\) following the methods described by Lorenz, et al. 84. The paleoclimatic simulation data used here was originally generated to evaluate changes in European and North American fossil pollen data and vegetation novelty since the Last Glacial Maximum 27. Source climate surfaces were aggregated to centennial means from the original decadal averages of monthly values.
+
+<|ref|>text<|/ref|><|det|>[[115, 502, 882, 792]]<|/det|>
+Past hunter- gatherer population densities were then predicted for every 30ArcMin cell above sea level. For visualization we also show the areas covered by glaciers using the glacier extent shapefiles derived by PaleoMIST 85. To generate 90% percentile population density estimates for each variable/century combination, only those qGAM models parametrised using the ethnographic data and current climatic conditions with cross- validated deviances above 70% were projected into past climatic conditions. As our objective was to establish the climatic variable that imposed the strongest constraints on hunter- gatherer population density at any one time, we determined the variable estimating the lowest 90%- percentile population density for a given cell at each evaluated time- period to be the limiting factor (the scarcest resource that would then limit population size cf. 16). For each evaluated time- period, we summarised the proportion of the available land area (i.e., land area not covered by ice) where each of the assessed variables was determined to be the limiting factor.
+
+<|ref|>text<|/ref|><|det|>[[115, 814, 881, 906]]<|/det|>
+We calculated the changes in the percentage of inhabited land area in Europe during the evaluated period by estimating the proportion of the inhabited area, here defined as the region where population densities were above 1 individual per \(100\mathrm{km}^2\) . To calculate human- population size in Europe during every century, we multiplied the predicted population density
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 83, 881, 127]]<|/det|>
+in each cell by the land area of the corresponding cell to arrive at per cell population size. We then and summed these values to arrive at the total population size for each century.
+
+<|ref|>text<|/ref|><|det|>[[115, 148, 883, 340]]<|/det|>
+Uncertainties in population density, size, occupied area, and limiting factor estimates were determined using a cross- validation approach, where model fitting was iterated 1000 times using a random sample (70%) of the ethnographic and climate data at each time step. Each model was used to hindcast populations densities, estimate the percentage of inhabited land area and human population size, and define the relevant limiting factor. Uncertainty in continental- scale estimates of population densities, occupied area and population size was determined using 95% confidence intervals. The variable selected as the limiting factor in most cross- validation folds was selected as the limiting factor.
+
+<|ref|>sub_title<|/ref|><|det|>[[118, 363, 461, 381]]<|/det|>
+## Validation of population density estimates
+
+<|ref|>text<|/ref|><|det|>[[115, 403, 883, 692]]<|/det|>
+To assess the validity of our population density estimations, we use the International Union for Quaternary Science (INQUA) Radiocarbon Palaeolithic Europe Database v28 \(^{86}\) . Changes in the density of records are a useful continental- scale proxy- measurement of prehistoric population size changes and are increasingly used to describe prehistoric human population dynamics trends \(^{87 - 92}\) . We extracted proxy dates (based on \(^{14}\mathrm{C}\) dates) from the INQUA Radiocarbon Palaeolithic Europe Database, aggregating these to the closest 1000 years. Our goal is to determine the match between our qGAM derived populations densities and prehistoric population occupation derived from the frequencies of radiocarbon dates between 20kaBP and 10kaBP as done by Tallavaara, et al. \(^{12}\) . This approach allowed validating our hindcasted estimates of absolute prehistoric population density since our model is not archaeologically informed, avoiding any possible circularity between model development and validation.
+
+<|ref|>text<|/ref|><|det|>[[115, 715, 883, 831]]<|/det|>
+We also used site- based estimates of population density as derived using the Cologne Protocol by Schmidt, et al. \(^{23}\) . We focus on estimates of extended interconnected socio- economic areas (Core Areas) for five unequal time bands between 25kaBP and 11.7KaBP. Although ultimately also based on Binford \(^{25}\) , these estimates present independently derived spatially implicit estimates of population density for the Late Palaeolithic in Europe.
+
+<|ref|>sub_title<|/ref|><|det|>[[118, 854, 263, 871]]<|/det|>
+## Data availability
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[60, 82, 883, 275]]<|/det|>
+375 The 'Binford' ethnographic database \(^{25}\) is available from the Database of Places, Language, Culture, and Environment (D- PLACE; https://d- place.org/about). Current and Late Quaternary environmental datasets are publicly available from the associated references. International Union for Quaternary Science (INQUA) Radiocarbon Palaeolithic Europe Database v28 is available from https://pandoradata.earth/am/dataset/radiocarbon-palaeolithic-europe-database-v28. Contemporary climate databases are available form the WorldClim project (https://www.worldclim.org), and late-Pleistocene climate sources are available at https://doi.org/10.6084/m9.figshare.c.4673120.v2.
+
+<|ref|>sub_title<|/ref|><|det|>[[434, 298, 562, 320]]<|/det|>
+## References
+
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+608 83 Liu, Z. et al. Transient Simulation of Last Deglaciation with a New Mechanism for Bolling- Allerod Warming. Science 325, 310- 314, doi:10.1126/science.1171041 (2009).
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+611 84 Lorenz, D. J., Nieto- Lugilde, D., Blois, J. L., Fitzpatrick, M. C. & Williams, J. W. Downscaled and debiased climate simulations for North America from 21,000 years ago to 2100AD. Sci Data 3, doi:ARTN 160048
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+614 10.1038/sdata.2016.48 (2016). 615 85 Gowan, E. J. et al. A new global ice sheet reconstruction for the past 80000 years. Nat Commun 12, doi:ARTN 1199
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+617 10.1038/s41467- 021- 21469- w (2021). 618 86 Vermeersch, P. M. European population changes during the Marine Isotope Stages 2 and 3. Quatern Int 137, 77- 85, doi:10.1016/j.quaint.2004.11.021 (2005). 619 87 Gamble, C., Davies, W., Pettitt, P., Hazelwood, L. & Richards, M. The archaeological and genetic foundations of the European population during the late glacial: Implications for 'agricultural thinking'. Cambridge Archaeological Journal 15, 193- 223, doi:10.1017/S0959774305000107 (2005). 620 88 Steele, J. Radiocarbon dates as data: quantitative strategies for estimating colonization front speeds and event densities. J Archaeol Sci 37, 2017- 2030, doi:10.1016/j.jas.2010.03.007 (2010). 621 89 Shennan, S. et al. Regional population collapse followed initial agriculture booms in mid- Holocene Europe. Nat Commun 4, doi:ARTN 2486
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+629 10.1038/ncomms3486 (2013). 630 90 Surovell, T. A., Finley, J. B., Smith, G. M., Brantingham, P. J. & Kelly, R. Correcting temporal frequency distributions for taphonomic bias. J Archaeol Sci 36, 1715- 1724, doi:10.1016/j.jas.2009.03.029 (2009). 631 91 Williams, A. N. The use of summed radiocarbon probability distributions in archaeology: a review of methods. J Archaeol Sci 39, 578- 589, doi:10.1016/j.jas.2011.07.014 (2012). 632 92 Kelly, R. L., Surovell, T. A., Shuman, B. N. & Smith, G. M. A continuous climatic impact on Holocene human population in the Rocky Mountains. P Natl Acad Sci USA 110, 443- 447, doi:10.1073/pnas.1201341110 (2013). 633 93 Thornthwaite, C. W. An approach toward a rational classification of climate. Geographical review 38, 55- 94 (1948). 634 94 Riley, S. J., DeGloria, S. D. & Elliot, R. Index that quantifies topographic heterogeneity. intermountain Journal of sciences 5, 23- 27 (1999).
+
+<|ref|>sub_title<|/ref|><|det|>[[57, 747, 288, 764]]<|/det|>
+## Acknowledgements
+
+<|ref|>text<|/ref|><|det|>[[57, 787, 883, 880]]<|/det|>
+645 AO was supported by the AUFF Starting Grant (AUFF- F- 2018- 7- 8). FR's contribution is part of CLIOARCH, an ERC Consolidator Grant project that has received funding from the European Research Council (ERC) under the European Union's Horizon 2020 research and innovation programme (grant agreement No. 817564).
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[67, 85, 304, 102]]<|/det|>
+## 649 Author contributions
+
+<|ref|>text<|/ref|><|det|>[[66, 125, 881, 168]]<|/det|>
+650 AO: Conceptualization; Methodology; Formal analysis; Resources; writing - original draft, 651 writing - review & editing; Visualization.
+
+<|ref|>text<|/ref|><|det|>[[66, 192, 848, 210]]<|/det|>
+652 FR: Conceptualization; Methodology; writing - original draft, writing - review & editing.
+
+<--- Page Split --->
+<|ref|>table_caption<|/ref|><|det|>[[125, 85, 936, 150]]<|/det|>
+Table 1. Variables used to generate ethnographic based models of the effect of climate on hunter-gatherer population density and summary of cross-validated deviance explained for the evaluated variables. Estimates correspond to those of a 1000-fold cross-validation approach (1000 samples of 70% training and 30% testing observations) or the full dataset
+
+<|ref|>table<|/ref|><|det|>[[115, 163, 956, 816]]<|/det|>
+
+| Variable name | Acronym | Units | How does the variable determine population density? | Cross-validated Deviance explained. Mean [95% CI] | Full-dataset Deviance explained |
| Effective Temperature* | ET | C | Energy availability | 0.774 [0.8-0.826] | 0.792 |
Potential Evapotranspiration** | PET | mm/yr | Energy availability | 0.751 [0.8-0.81] | 0.774 |
Mean Annual Temperature | MAT | C | Energy availability | 0.733 [0.7-0.777] | 0.757 |
Mean temperature of the Coldest Month | MCM | C | Extreme Events | 0.798 [0.8-0.839] | 0.812 |
Mean temperature of the Warmest Month | MWM | C | Extreme Events | 0.705 [0.7-0.762] | 0.737 |
| Temperature Seasonality | TSeson | C | Annual Variability | 0.777 [0.8-0.839] | 0.811 |
Spring Mean Temperature | SpMT | C | Seasonal trends | 0.789 [0.8-0.828] | 0.804 |
Summer Mean Temperature | SmMT | C | Seasonal trends | 0.773 [0.8-0.817] | 0.786 |
| Fall Mean Temperature | FMT | C | Seasonal trends | 0.725 [0.7-0.786] | 0.750 |
Winter Mean Temperature | WMT | C | Seasonal trends | 0.765 [0.8-0.808] | 0.782 |
| Annual precipitation | PREC | mm/yr | Energy availability | 0.701 [0.7-0.757] | 0.712 |
Precipitation of the Driest Month | PDM | mm/m onth | Extreme Events | 0.746 [0.7-0.793] | 0.760 |
Precipitation of the Wettest Month | PDM | mm/m onth | Extreme Events | 0.77 [0.8-0.804] | 0.784 |
| Precipitation Seasonality | PSeson | mm/m onth | Annual Variability | 0.737 [0.7-0.772] | 0.748 |
| Spring Precipitation | SpPREC | mm/m onth | Seasonal trends | 0.773 [0.8-0.814] | 0.788 |
| Summer Precipitation | SmPREC | mm/m onth | Seasonal trends | 0.753 [0.8-0.8] | 0.779 |
| Fall Precipitation | FPREC | mm/m onth | Seasonal trends | 0.7 [0.7-0.772] | 0.711 |
| Winter Precipitation | TPREC | mm/m onth | Seasonal trends | 0.774 [0.8-0.826] | 0.792 |
Topographic Ruggedness Index*** | | m | Habitat Heterogeneity | 0.751 [0.8-0.81] | 0.774 |
| 654 | * Calculated following 25 |
| 655 | ** Calculated following on 93. |
| 656 | *** Calculated following 94 |
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[232, 85, 750, 581]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[126, 583, 870, 667]]<|/det|>
+Figure 1. Quantile Generalised Additive Models (qGAM) describing the relation between environmental factors and population density for 10-percentiles (dashed lines), 50-percentiles (solid lines), and 90-percentiles (doted lines). Here, only the six most limiting factors during the 22kaBP to 8kaBP are presented. Full explorations of evaluated variables presented in Supplementary material S1.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[140, 90, 860, 722]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[125, 726, 873, 825]]<|/det|>
+Figure 2. Convergence between current climatic conditions (hashed density plots) and paleoclimatic conditions at four different periods (coloured density plots). Paleoclimatic periods are Greenland Stadial 2, Greenland Interstadial 1, Greenland Stadial 1, and Holocene. As in Figure 1, only the six most limiting factors during the 22kaBP to 8kaBP are presented. Full explorations of evaluated variables presented in Supplementary material S2.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[196, 87, 790, 736]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[125, 743, 872, 876]]<|/det|>
+Figure 3. Contrast between Europe wide mean population density (top panel), and trends in key environmental variables (bottom). Estimated average population density for all Europe based on a randomization approach (top panel) are compared to archaeological population proxy based on number of calibrated radiocarbon dates for Europe between 21 and 11kyBP based on \(^{12}\) summaries of the Radiocarbon Palaeolithic Europe Database v28 \(^{86}\) (red), and core area (cf. \(^{23}\) population density mean and upper/lower estimates based on the Cologne Protocol (blue). On the bottom panel, plotted variables are: Effective temperature, Minimum temperature of the Coldest Month, and Maximum temperature of the Warmest Month.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[133, 90, 820, 690]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[125, 693, 872, 791]]<|/det|>
+Figure 4. Estimated human population density and range (areas where population density \(> 1\) individual per \(100\mathrm{km}^2\) ) (A-E) and factors limiting population density (F-J) across Europe for selected times during the 22ky to 8kyBP period. (A, F) Greenland Stadial 2; (B, G) Greenland Interstadial 1; (C, H) Greenland Stadial 1 warming terminations (D, I) Holocene initiation; (E, J) Mid-Holocene. Areas in grey scale represent the glacier extent as derived by PaleoMIST 85.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[137, 108, 884, 650]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[125, 657, 872, 725]]<|/det|>
+Figure 5. Proportion of the ice-free area of Europe where each variable was estimated to be the factor limiting population density (A); and estimated population size based on the mean environmental conditions for each century (B). In both panels, only the six variables with the highest percentages of cells where the variable is the limiting factor are presented.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[130, 90, 870, 620]]<|/det|>
+
+<|ref|>text<|/ref|><|det|>[[127, 630, 860, 699]]<|/det|>
+Supplementary material S1 Quantile Generalised Additive Models (qGAM) describing the relation between the six most important environmental factors explored and population density for 10- percentiles (dashed lines), 50- percentiles (solid lines), and 90- percentiles (doted lines). Title acronyms as in Table 1.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[128, 90, 765, 543]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[127, 544, 870, 610]]<|/det|>
+Supplementary material S2. Overlap between current climatic conditions (hashed density plots) used for model building and paleoclimatic databases (coloured density plots) used to hindcast human population density for all 19-climatic variables used. Title acronyms as in Table 1.
+
+<--- Page Split --->
diff --git a/preprint/preprint__02381398ad3c168dad4fb3121959ba38b9f694fc8f5d7aeae79ef0842f4b081a/images_list.json b/preprint/preprint__02381398ad3c168dad4fb3121959ba38b9f694fc8f5d7aeae79ef0842f4b081a/images_list.json
new file mode 100644
index 0000000000000000000000000000000000000000..5a18a90f9af2a37f036a65651ff27bc10765ae40
--- /dev/null
+++ b/preprint/preprint__02381398ad3c168dad4fb3121959ba38b9f694fc8f5d7aeae79ef0842f4b081a/images_list.json
@@ -0,0 +1,32 @@
+[
+ {
+ "type": "image",
+ "img_path": "images/Figure_1.jpg",
+ "caption": "Figure 1. a, Diagram comparing cell type annotations by human experts, GPT-4, and other automated methods. b, An example showing GPT-4 prompts and answers for annotating human prostate cells with increasing granularity. c, An example showing GPT-4 prompts and answers for annotating single cell types (first two cell types), mixed cell types (third cell type), and new cell types (fourth cell type).",
+ "footnote": [],
+ "bbox": [
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+ 690
+ ]
+ ],
+ "page_idx": 5
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_2.jpg",
+ "caption": "Figure 2. Evaluation of cell type annotation by GPT-4. a, Datasets included in this study b, Agreement between original and GPT-4 annotations in identifying cell types of human prostate cells. c, Averaged agreement score (y-axis) and the number of top differential genes (x-axis) in HCA, HCL, and MCA datasets. d, Proportion of cell types with different levels of agreement in each study and tissue. Averaged agreement scores are shown as black dots. e, Proportion of cell types with different levels of agreement in each cell category. Averaged agreement scores are shown as black dots. f, Proportion of cell types that include type I collagen gene in the differential gene lists. The cell types are either classified as stromal cells by manual annotations and fibroblast, osteoblast, or chondrocyte by GPT-4 annotations, or classified as fibroblast, osteoblast, or chondrocyte by manual annotations. g, Proportion of cases where GPT-4 correctly identifies mixed and single cell types. Each dot represents one round of simulation. h, Proportion of cases where GPT-4 correctly identifies known and unknown cell types. Each dot represents one round of simulation. i, Reproducibility of GPT-4 annotations. Each dot represents one cell type.",
+ "footnote": [],
+ "bbox": [
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+ "page_idx": 6
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diff --git a/preprint/preprint__025de565043ff8e7db332a9d49b5794afb4f1a967efe3413a21f6a9dbeddf7e4/images_list.json b/preprint/preprint__025de565043ff8e7db332a9d49b5794afb4f1a967efe3413a21f6a9dbeddf7e4/images_list.json
new file mode 100644
index 0000000000000000000000000000000000000000..d14b278f7b52efae5bcd0b12efe6fa2a4c4e6144
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@@ -0,0 +1,62 @@
+[
+ {
+ "type": "image",
+ "img_path": "images/Figure_1.jpg",
+ "caption": "Figure 1. |Overview modelling framework. Counterfactual emissions are converted into GMT using the simple climate model MAGICC and subsequently translated into grid-point level realisations of climatic variables using the ESM emulator MESMER-M-TP. a, Counterfactual CO2 emission pathways. Historic emissions (blue) without contribution of a selected emitter group post 1990 (orange). b, GMT levels for historic and counterfactual emission pathways. c, Reference, present-day and counterfactual temperature distributions at a single grid-cell.",
+ "footnote": [],
+ "bbox": [
+ [
+ 115,
+ 88,
+ 880,
+ 269
+ ]
+ ],
+ "page_idx": 2
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_2.jpg",
+ "caption": "Figure 2. |Attributed 1990-2020 GMT increase by emitter group. a, GMT increase attributed to global top \\(10\\% /1\\% /0.1\\%\\) (orange/teal/pink) and actual GMT increase over 1990-2020 (grey). Hatched areas indicate the warming for each group based on an equal per capita contribution to warming. Climate Inequality Factors (CIFs) indicating the group's contribution to global warming relative to the average contribution are given above the bars. Vertical lines represent \\(5^{\\mathrm{th}}\\) - \\(95^{\\mathrm{th}}\\) quantile ranges from natural variability and uncertainty in the global temperature response to emission changes. Circles highlight median values from sensitivity analysis, see Methods (lower circle: \\(\\mathrm{CO_2}\\) -based emissions; upper circle: non- \\(\\mathrm{CO_2}\\) -based emissions). b, Hypothetical GMT increase from 1990-2020 if everyone emitted like the given income groups, with \\(5^{\\mathrm{th}}\\) - \\(95^{\\mathrm{th}}\\) uncertainty ranges shown by vertical lines. c-d, Regional breakdown of the global top \\(10\\% /1\\%\\) over time. e, Same as Panel a but for the regional top \\(10\\% /1\\% /0.1\\%\\) (orange, teal, pink) in the US, the EU27, India and China. Grey bar highlights the GMT increase attributable to the region as a whole. Two CIFs are given: the lighter (darker and lower) value is relative to the country's equal share (actual emissions) and measures global (regional) inequality. f-g, Income thresholds of the regional top \\(10\\% /1\\%\\) ranked against global income levels. Values below (above) bold grey line indicate regional top \\(10\\% /1\\%\\) are wealthier (poorer) than global top \\(10\\% /1\\%\\) .",
+ "footnote": [],
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+ 578
+ ]
+ ],
+ "page_idx": 3
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_3.jpg",
+ "caption": "Figure 3. | Frequency change of 1-in-100 year heat and drought events attributable to global top 10. a, Distribution of attributed extreme events across grid-cells (boxes: median and inter-quartile range, whiskers: min-max range over inliers, circles: outliers). Heat (potential drought) highlighted in red (blue) with qualitative colour shades. b, Spatial distribution attributed extreme events in August. Red (blue) areas are dominated by heat (drought) events, purple nuances indicate increases in both. c, Additional occurrences of August heat extremes by region (highlighted on map). Total increase in events between 1990 and 2020 (grey) and shares attributable to top 10 (1) in orange (teal). Climate Inequality Factors indicating the group’s contribution to extremes relative to the average contribution are given above the bars. Vertical lines correspond to \\(5^{\\text{th}}\\) - \\(95^{\\text{th}}\\) uncertainty ranges. d, Same as c but for potential drought conditions.",
+ "footnote": [],
+ "bbox": [
+ [
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+ ],
+ "page_idx": 5
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_4.jpg",
+ "caption": "Figure 4. |Frequency increase of 1-in-100 year August extremes in selected regions attributable to regional top 10. Left: additional number of additional occurrences of heat extremes in selected regions that are attributable to the top \\(10\\%\\) of emitters in China (dark red), US (light red), EU27 (gold) and India (blue). Right: Same as on the left but for potential droughts. Wider bars indicate more events are attributable to a given emitter group. Value on bar indicates additional number of events over the course of 100 years.",
+ "footnote": [],
+ "bbox": [
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+ ],
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+# Unequal Emissions, Unequal Impacts: How High-Income Groups Disproportionately Contribute to Climate Extremes Worldwide
+
+Sarah Schoengart sarah.schoengart@hu- berlin.de
+
+HU Berlin Zebedee Nicholls University of Melbourne https://orcid.org/0000- 0002- 4767- 2723 Roman Hoffmann International Institute for Applied Systems Analysis (IIASA) https://orcid.org/0000- 0003- 3512- 1737 Setu Pelz International Institute for Applied Systems Analysis https://orcid.org/0000- 0002- 3528- 8679 Carl- Friedrich Schleussner IIASA https://orcid.org/0000- 0001- 8471- 848X
+
+## Article
+
+Keywords: Attribution, Inequality, Injustice, Extremes
+
+Posted Date: November 27th, 2024
+
+DOI: https://doi.org/10.21203/rs.3.rs- 5417521/v1
+
+License: © © This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+Additional Declarations: There is NO Competing Interest.
+
+Version of Record: A version of this preprint was published at Nature Climate Change on May 7th, 2025. See the published version at https://doi.org/10.1038/s41558- 025- 02325- x.
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+# Unequal Emissions, Unequal Impacts: How
+
+# High-Income Groups Disproportionately
+
+# Contribute to Climate Extremes Worldwide
+
+Sarah Schöngart1,2, Zebedee Nicholls1,3,4, Roman Hoffmann1, Setu Pelz1, and Carl- Friedrich Schleussner1,2
+
+1International Institute for Applied Systems Analysis (IIASA), Schloβplatz 1, 2361 Laxenburg, Austria 2IRIThesys, Humboldt- Universität zu Berlin, Friedrichstrasse 191, 10117 Berlin, Germany 3Climate Resource, Melbourne, Australia 4School of Geography, Earth and Atmospheric Sciences, The University of Melbourne, Melbourne, Australia
+
+Corresponding author: Sarah Schöngart1
+
+Email address: sarah.schoengart@climateanalytics.org
+
+## ABSTRACT
+
+One of the fundamental injustices of climate change is that those least responsible often bear the brunt of its impacts. This injustice persists not only between countries but also on the individual level within societies. Here, we assess how greenhouse gas emissions from consumption and investments attributable to the wealthiest population groups from 1990 to 2019 have influenced present- day (2020) global mean temperature levels as well as monthly temperature and potential drought extremes. We combine emission inequality data with an emulator- based modelling framework, enabling a systematic attribution of changes in regional extremes worldwide. We find that the top \(10\%\) wealthiest individuals globally contributed about 6.5 times the global average to global warming \((0.40^{\circ}\mathrm{C} \pm 0.16^{\circ}\mathrm{C})\) , the top \(1\%\) even 20 times the average \((0.12^{\circ}\mathrm{C} \pm 0.05^{\circ}\mathrm{C})\) . These disproportionate contributions further amplify for extreme events, with the top \(10\%\) contributing about 7 times more to the emergence of 1- in- 100 year heat and potential drought events than the global average \((11.5 \pm 3.9\) and \(4.7 \pm 2.8\) additional occurrences), the top \(1\%\) 25 times more \((4.0 \pm 1.3\) and \(1.7 \pm 0.9\) additional occurrences). Emissions from the wealthiest \(10\%\) in the United States and China, the two largest greenhouse gas emitters, are associated with a two- to three- fold increase in the frequency of heat and drought extremes across vulnerable regions. Quantifying the relationship between wealth disparities and climate change impacts can assist the discourse on climate equity and justice.
+
+Keywords: Attribution; Inequality; Injustice; Extremes
+
+## 1 INTRODUCTION
+
+Over the past two decades, extreme events attributable to climate change led to an annual average of 143 billion USD in damages[1]. How these costs could and should be covered - both between and within countries - is subject to debate[2]. Central to this debate is the stark disparity between those responsible for emissions and those affected by their impacts. The wealthiest \(10\%\) of the global population accounted for nearly half of global emissions in 2019 through private consumption and investments, whereas the poorest \(50\%\) contributed only one- tenth of global emissions[3]. At the same time, regions with low historic emissions and income levels are typically more frequently and severely exposed to climate impacts[4,5] with limited resources for adaptation[6]. This cause- and- effect injustice is widely acknowledged[7], yet, an quantification of how carbon inequality translates into unequal accountability for the resulting global temperature levels and extreme climate events is missing. Given the role of non- \(\mathrm{CO}_{2}\) greenhouse gases (GHGs), such as methane, in recent warming, a modelling rather than a metric- based approach is required to accurately assess the warming contributions of different emitters[8].
+
+In this study, we combine wealth- based carbon inequality assessments[3], with an emulator- based climate mod
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+Figure 1. |Overview modelling framework. Counterfactual emissions are converted into GMT using the simple climate model MAGICC and subsequently translated into grid-point level realisations of climatic variables using the ESM emulator MESMER-M-TP. a, Counterfactual CO2 emission pathways. Historic emissions (blue) without contribution of a selected emitter group post 1990 (orange). b, GMT levels for historic and counterfactual emission pathways. c, Reference, present-day and counterfactual temperature distributions at a single grid-cell.
+
+29 elling framework[9] to systematically attribute changes in global mean temperature (GMT) levels and grid- point- level climate extremes to emissions from different wealth groups. We use the Model for the Assessment of the Greenhouse Gas Induced Climate Change (MAGICC)[10], a simple climate model, in conjunction with the Modular Earth System Model Emulator for Monthly Temperature and Precipitation (MESMER- M- TP)[11], a model that is able to generate large ensembles of spatially explicit monthly temperature and precipitation data which closely resembles that of complex Earth System Models (ESMs) at a fraction of the cost.
+
+We use attribution science frameworks to link human- induced GHG emissions to changes in the frequency and intensity of individual extreme events[12]. Originally, these frameworks were developed to attribute changes to total human emissions[13,14], but they are increasingly applied to individual emitters, such as companies or countries[15,16]. When attributing impacts among multiple emitters, various approaches exist, each yielding different outcomes and being equally justifiable[17,18]. Here, we assess the changes in the characteristics of extreme events but for the emissions of a specific emitter group[15,18].
+
+We generate counterfactual emission pathways by subtracting the 1990- 2019 emissions of specific emitter groups, namely the wealthiest \(10\% /1\% /0.1\%\) globally, as well as in the US, the EU27, India, and China (Fig. 1 Panel b). Emissions data, drawn from[3], include emissions from domestic consumption, public and private investments, and trade; emissions are attributed to consumers, except, emissions from capital formation in production sectors are attributed to firm owners[19]. Emissions are reported as a basket of GHGs, aggregated with Global Warming Potential 100. We then convert these counterfactual pathways into GMT levels and gridded climatic variables (panel a in Fig. 1), allowing us to compare the 2020 climate against the hypothetical 2020 climate state that we would observe, if these groups had not emitted. Specifically, we attribute GMT levels and changes in the probability and intensity of monthly temperature and potential drought extremes (Fig. 1 Panel c), using the Standardised Precipitation Evapotranspiration Index computed over 3 month periods (SPEI- 3)[20]. For illustration, we also assess counterfactual warming outcomes based on rescaling global emissions according to the per capita profile of individual income percentiles.
+
+Our analysis attributes climate impacts to wealthy emitters and compares these to impacts from global average per capita emissions. However, we do not assess what would constitute fair or just emissions for these groups, nor do we assign direct responsibility for the resulting impacts.
+
+## 2 RESULTS
+
+### 2.1 Inequality in Attributed Global Warming Contributions
+
+Our modelling framework depicts natural variability and uncertainty in the global response to emission changes (see Methods). Unless mentioned otherwise, we provide median results and the \((5^{\mathrm{th}} - 95^{\mathrm{th}})\) confidence interval. As
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+Figure 2. |Attributed 1990-2020 GMT increase by emitter group. a, GMT increase attributed to global top \(10\% /1\% /0.1\%\) (orange/teal/pink) and actual GMT increase over 1990-2020 (grey). Hatched areas indicate the warming for each group based on an equal per capita contribution to warming. Climate Inequality Factors (CIFs) indicating the group's contribution to global warming relative to the average contribution are given above the bars. Vertical lines represent \(5^{\mathrm{th}}\) - \(95^{\mathrm{th}}\) quantile ranges from natural variability and uncertainty in the global temperature response to emission changes. Circles highlight median values from sensitivity analysis, see Methods (lower circle: \(\mathrm{CO_2}\) -based emissions; upper circle: non- \(\mathrm{CO_2}\) -based emissions). b, Hypothetical GMT increase from 1990-2020 if everyone emitted like the given income groups, with \(5^{\mathrm{th}}\) - \(95^{\mathrm{th}}\) uncertainty ranges shown by vertical lines. c-d, Regional breakdown of the global top \(10\% /1\%\) over time. e, Same as Panel a but for the regional top \(10\% /1\% /0.1\%\) (orange, teal, pink) in the US, the EU27, India and China. Grey bar highlights the GMT increase attributable to the region as a whole. Two CIFs are given: the lighter (darker and lower) value is relative to the country's equal share (actual emissions) and measures global (regional) inequality. f-g, Income thresholds of the regional top \(10\% /1\%\) ranked against global income levels. Values below (above) bold grey line indicate regional top \(10\% /1\%\) are wealthier (poorer) than global top \(10\% /1\%\) .
+
+our database provides only basket emissions, we derived the main results assuming emissions for each GHG scale proportionally with the globally aggregated emissions (see Methods). We explore the sensitivity to this assumption in the Supplementary 5.2.
+
+GMT has risen by \(0.61^{\circ}\mathrm{C}(\pm 0.24^{\circ}\mathrm{C})\) between 1990 and 2020. We find that about \(65\% (0.40^{\circ}\mathrm{C}\pm 0.16^{\circ}\mathrm{C})\) of this increase is attributable to the global top \(10\%\) , \(20\% (0.12^{\circ}\mathrm{C}\pm 0.05^{\circ}\mathrm{C})\) to the top 1 and \(8\% (0.05^{\circ}\mathrm{C}\pm 0.02^{\circ}\mathrm{C})\) to the
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+67 top \(0.1\%\) (see Fig. 2 Panel a and Table S2). These warming responsibilities are higher (by about one fifth) than the respective group's contributions to aggregated GHG basket emissions (see Table S1), underscoring the importance of using a climate model to assess warming contributions and the potential for non- linearities in such attribution [21] (see also Supplementary Material 5.2).
+
+To put these numbers into perspective, we compute equal shares by scaling the total GMT increase according to the group's share of the global population (e.g. the global top \(10\%\) 's equal share are \(10\%\) of the full \(0.61^{\circ}\mathrm{C}\) increase). We then derive Climate Inequality Factors (CIFs) as the group's actual contribution to global warming relative to their equal share. CIFs increase from 6.5 for the top 10 to 20 (77) for the top 1 (0.1), indicating an amplification of climate inequality with increasing wealth.
+
+The full depth of the disproportion in contributions to GMT level becomes tangible when rescaling global emissions according to the per capita profile of global income groups (Fig. 2 Panel b). If the entire world population had emitted like the bottom \(50\%\) , there would have been minimal additional warming since 1990. However, if the entire world population had emitted like the top \(10\% /1\% /0.1\%\) , the GMT increase since 1990 would have been \(2.9 / 6.7 / 12.2^{\circ}\mathrm{C}\) .
+
+Accounting from 1990, the top emitters primarily come from the world's highest emitting countries: the US, China, India and the EU27 (Fig. 2 Panels c- d). Shares of the wealthy have been shifting over the past 30 years: while more than \(27\%\) of the global top \(10\%\) were European in 1990, this number has dropped to \(19\%\) in 2019; and while less than \(1\%\) of the global top \(10\%\) came from China in 1990, the share has grown to \(13\%\) in 2019. While our focus is on wealthy individuals from the world's largest economies, we note that those from smaller countries also contribute disproportionately, with within country inequalities being even more pronounced in countries in Sub- Saharan Africa and the Middle East and North Africa (MENA) region [3].
+
+We also assess contributions of emitters from selected regions (US, EU27, China, India). Income levels from regional top emitters deviate from their global counter parts, i.e. the top \(10\% /1\%\) in the US and the EU27 (India and China) are wealthier (poorer) than the globally wealthiest \(10\% /1\%\) (Fig. 2 f and g). In the US, the regional top \(10\% /1\%\) belong to the globally wealthiest \(1 - 2\% /0.1 - 0.2\%\) . In China, the top \(10\%\) were among the globally wealthiest \(37\%\) (13%) in 1990 (2019).
+
+Attributed GMT shares by regional emitter groups combine within- and between- region inequality. In the US/EU27, the top \(10\%\) contribute 3.1/2.8 times more to global warming than the average citizen, but 17/8 times more than the global average. For the US, the top \(10\%\) 's contribution alone exceeds the entire country's equal share. This relative inequality increases with increasing wealth: the top \(1\%\) in the US/EU27 contribute 53/21 times their equal shares, and the top \(0.1\%\) contribute 190/64 times their equal shares. In China, where the overall CIF is near 1, the top \(10\% /1\% /0.1\%\) emit 4, 13, and 50 times their equal shares, showing even greater regional influence from societal elites. Similarly, in India, where the national CIF is 0.3 - implying the countries per capita average emissions are below the global average -, the top \(10\% /1\% /0.1\%\) emit 1.2, 4 and 10 times above the global average.
+
+### 2.2 Major Disparities in Attributable Extremes Worldwide
+
+Throughout the year, regional increases in the occurrence frequency of 1- in- 100 year heat and potential drought extremes are attributable to the emissions of the global top \(10\%\) (Fig 3 Panel a). For heat extremes, changes are most (least) pronounced in August (February), where \(11.5 \pm 3.9\) ( \(3.5 \pm 1.2\) ) additional events are attributable to the global top \(10\%\) . Similarly, attributable potential drought extremes are highest in August and September ( \(4.7 \pm 2.8\) and \(4.8 \pm 2.4\) ) additional events) and lowest in February (negligible increases). These changes refer to the global median over land that is predominantly located on the Northern Hemisphere, and Southern Hemisphere locations may see up to 30 addition attributable events in February (see also Supplementary Fig. S3).
+
+Given the intra- annual distribution of impacts, we focus on extremes in August and present results for other months in Supplementary 5.4.
+
+In August, the total increase in heat (potential droughts) events since 1990 is \(15.7 \pm 5.8\) ( \(6.5 \pm 4.1\) ). The top \(10\%\) contribute 7.3 (7.0) times the global average to this, while the top \(1\%\) contribute 25.5 (25.6) times the average (see Fig. 3 Panel c and d). In addition, the intensities of 1- in- 100 year August extreme heat (potential drought) events increased by \(0.86^{\circ}\mathrm{C} \pm 0.16^{\circ}\mathrm{C}\) ( \(0.21 \pm 0.54\) ) since 1990. \(0.56^{\circ}\mathrm{C} \pm 0.08^{\circ}\mathrm{C}\) ( \(0.13 \pm 0.06\) ) of this increase is attributable to the top \(10\%\) suggesting their contribution is 6.7 (6.3) times higher than global average S6- S10. Similarly, \(0.18^{\circ}\mathrm{C} \pm 0.02^{\circ}\mathrm{C}\) ( \(0.03 \pm 0.02\) ) are attributable to the top \(1\%\) which represents 21.0 (16.4) times the global average.
+
+While these results hold true for the global median, there is a strong spatial disparity in attributable changes at the grid- cell level with some regions being more severely impacted (see Fig. 3 and Supplementary Fig. S3- S10). For
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+Figure 3. | Frequency change of 1-in-100 year heat and drought events attributable to global top 10. a, Distribution of attributed extreme events across grid-cells (boxes: median and inter-quartile range, whiskers: min-max range over inliers, circles: outliers). Heat (potential drought) highlighted in red (blue) with qualitative colour shades. b, Spatial distribution attributed extreme events in August. Red (blue) areas are dominated by heat (drought) events, purple nuances indicate increases in both. c, Additional occurrences of August heat extremes by region (highlighted on map). Total increase in events between 1990 and 2020 (grey) and shares attributable to top 10 (1) in orange (teal). Climate Inequality Factors indicating the group’s contribution to extremes relative to the average contribution are given above the bars. Vertical lines correspond to \(5^{\text{th}}\) - \(95^{\text{th}}\) uncertainty ranges. d, Same as c but for potential drought conditions.
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+example, in South East Asia \(28.7(\pm 5.8)\) heat events and in West Southern Africa \(18.0(\pm 8.5)\) potential drought events are attributable to the top \(10\%\) . In particular, regions that have disproportionately contributed to the emissions of the top \(10\%\) , for example the EU27 and the US (see Fig. 2), face relatively smaller increases compared to regions that have contributed very little (e.g., Western North America and West&Central Europe compared to Northern South America in Fig. 3 Panels b and c).
+
+Notable are the relatively small (attributable) impacts over India and parts of China and the simultaneously high inter- model disagreement. This is inconsistent with the increasing number of climate- related disasters India is already facing [22]. We attribute this behaviour to the effects of air pollution in our training dataset and discuss this in the Supplementary 5.3.
+
+### 2.3 Transboundary Impacts Attributable to Affluent Groups in High-emitting Countries
+
+The inequality in warming contributions from affluent groups in high- emitting regions exceed the inequality in their global counter- parts (see Fig. 2). This disparity also appears at the grid- cell level: for example, in the global median, emissions from the top \(10\%\) ( \(1\%\) ) in the US are associated with \(1.5 \pm 0.46\) ( \(0.5 \pm 0.17\) ) additional 1- in- 100 year heat events in August. This impact represents 21 (70) times the global average contribution and about three times the global top \(10\%\) 's ( \(1\%\) 's) relative contribution (see Fig. 3). For potential droughts, the top \(10\%\) ( \(1\%\) ) in the US contribute \(0.7 \pm 0.31\) ( \(0.17 \pm 0.08\) ) additional extreme events, which equates to 33 (88) times the global average. These effects are unevenly distributed across regions. For instance, in heat- vulnerable areas such as Northern South America and South East Africa, emissions from the top \(10\%\) in China (the US) are linked to \(3.0 \pm 1.0\) ( \(2.7 \pm 1.0\) ) additional occurrences of extreme heat (Fig. 4). Similarly, in drought- prone areas like Northeastern South America and West and Central Asia, \(2.7 \pm 1.0\) additional events are attributable to the top \(10\%\) in both China and the US. In most regions (we highlight Southeastern Africa and West and Central Asia in Fig. 4), emissions from regional top emitters significantly elevate risks of both heat and drought extremes.
+
+Attributing changes in extreme events to country specific wealthy emitter groups becomes increasingly challenging as emitter groups decrease in per capita size, meaning their cumulative emissions decrease even if their relative emission contributions increase. The lower bound ( \(5^{\text{th}}\) quantile) of changes in the frequency of extreme heat and drought events attributable to the global top \(10\%\) is greater than zero at \(94\%\) of locations. This numbers drops to \(62\%\) for the top \(10\%\) in China with an additional \(34\%\) ( \(2\%\) ) of locations where only changes in heat (potential drought) are robust; and it further drops to \(18\%\) for the top \(10\%\) in India with an additional \(39\%\) ( \(6\%\) ) of locations where only changes in heat (potential drought) are robust. For small cumulative emissions, robust signals extend mainly from the equatorial zone to the subtropics and are less robust from the temperate zone polewards. This implies changes in the global median of 1- in- 100 year potential drought events attributable to the top \(10\%\) in India are largely obscured by natural variability (even within our emulator framework that allows far bigger ensembles than traditional methods), while there is still a robust signal in vulnerable regions. For example, in South Eastern Africa and West and Central Asia even the lower bound estimate for additional potential heat and drought events attributable to the top \(10\%\) in India entails a \(50\%\) increase in occurrence frequency compared to pre- industrial. This again highlights the spatial disparity in attributable impacts and shows that for vulnerable areas even seemingly small increments in emissions result in considerable impacts. The induced risks depend on the definition of extremes, with tail risks becoming increasingly pronounced as event rarity increases (see Supplementary Fig. S11- S14).
+
+## 3 DISCUSSION AND CONCLUSION
+
+This study introduces a framework to attribute local extreme events to individual emitters, linking wealth- based emissions to shifts in global mean temperature (GMT) and regional extremes in heat and potential drought. We find that the globally wealthiest \(10\%\) contributed 6.5 times more to global warming than the average, with the top \(1\%\) and \(0.1\%\) contributing 20 and 76 times more, respectively. This imbalance is more pronounced at the grid- cell level: the globally wealthiest \(10\%\) and \(1\%\) contributed more than 7 and 25 times to the frequency increase of pre- industrial 1- in- 100 year heat and potential drought extremes in August than the global average. These wealthiest groups are mostly located in high- emitting countries like the US, the EU27, and China, which are less affected by local climate impacts. Therefore, their emissions are associated with significant transboundary effects, with the wealthiest \(10\%\) within the US and China contributing to at least two additional extreme heat and drought events in vulnerable regions, such as South East Asia, South East Africa, and Northern South America. This climate injustice underscores the need for addressing inequality in policy discussions [23].
+
+From a mitigation perspective, our findings suggest affluent groups are crucial in reducing their own carbon footprints
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+Figure 4. |Frequency increase of 1-in-100 year August extremes in selected regions attributable to regional top 10. Left: additional number of additional occurrences of heat extremes in selected regions that are attributable to the top \(10\%\) of emitters in China (dark red), US (light red), EU27 (gold) and India (blue). Right: Same as on the left but for potential droughts. Wider bars indicate more events are attributable to a given emitter group. Value on bar indicates additional number of events over the course of 100 years.
+
+and in supporting global climate action [24]. International climate agreements are typically based on production- side accounting, while our findings reinforce the need to explore mitigation strategies that also target consumption- side emissions [25,26], in particular those related to wealth, as proposed for example in ref. [3]. Additionally, our sensitivity analysis underscores the critical role of methane \((\mathrm{CH}_4)\) emissions in near- term warming and calls for new research to disentangle emissions from different wealth groups at the level of individual gases. Reducing \(\mathrm{CH}_4\) emissions in line with Paris Agreement compatible pathways can yield immediate reductions in global temperatures and climate extremes [27].
+
+From an adaptation and loss- and- damage perspective, quantifying individual contributions to climate impacts can inform financial mechanisms such as the Loss and Damage fund and domestic climate financing structures [28]. Although our framework could, in theory, aid in estimating emissions- based financial obligations, it is bound by conceptual challenges and value judgments in approach and implementation. First, our attribution relies on consumption- based carbon data, allocating emissions between consumers and shareholders through shared ownership; second, we employ the but for attribution method. All quantitative estimates are therefore tied to these assumptions. For instance, our focus on consumption- based emissions contrasts with production- based approaches [15,29]. Additionally, there are various ways to attribute capital- related emissions between consumers and shareholders [19]. Balancing these methods is essential to avoid double- counting and to address ethical and legal issues around responsibility. Additionally, the non- linear relationship between global and local emission responses complicates attribution, as emission removal sequences can lead to varying outcomes [18]. Addressing these challenges is key to developing a unified approach to attribution, which can support robust policy decisions. Accordingly, our analysis does not assign responsibility for resulting climate impacts, nor does it determine fair emission levels for any income group. Such determinations require an integrated view of fairness, justice, and socio- economic factors [23,30], with different reference points for societies at varying levels of development.
+
+From a technical viewpoint, our analysis is limited by the lack of data on how GHG emission composition varies with income and wealth. This limits the accuracy of our results, as emission composition strongly affects attribution. In addition, our drought indicator is based solely on temperature and precipitation, which may lead to overestimations in drought risks [31]. Finally, since our analysis is based on modelled data, it is subject to errors due to computational deviations from observations [32,33].
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+In conclusion, our findings underscore the contribution of seemingly small amounts of emissions to changes in regional extremes. Advancing frameworks for attributing emissions to individual emitters can inform global climate action and address climate inequalities.
+
+## 4 MATERIALS AND METHODS
+
+We quantify intensity and frequency changes in temperature and potential drought extremes attributable to specific emitter groups. The methodological framework relies on three steps (Fig. 1): first, we construct counterfactual emissions pathways, i.e. emission pathways with and without the emissions of selected population groups; second, we translate emissions into gridded temperature, precipitation and potential drought data via a chain of computationally efficient emulators; and third, we build on the framework of extreme event attribution to quantify changes in the grid- point level distributions of the climatic variables. We rely on the Standardised Precipitation Evapotranspiration Index computed over a 3 month period (SPEI- 3) to identify potential droughts [20]. The SPEI- 3 can be computed from precipitation and potential evapotranspiration (PET) data. Ideally, PET is estimated via the Penman- Monteith equation [34,35] which takes temperatures, radiation, wind speed and humidity into account. Given our emulation framework only depicts temperature and precipitation, we rely on the Thornthwaite method to compute PET from temperature data only [36]. However, PET estimates via Thornthwaite are prone to overestimations in terms of magnitude and temporal trends [31]. While this approach is practical, it is only an approximation of true drought conditions, which is why we refer to our drought indicator as potential droughts.
+
+Counterfactual emission pathways. We assess what our climate today would look like if the wealthiest \(10\% /1\% /0.1\%\) globally, as well as in the US, EU27, India and China had not contributed to global emissions between 1990 and 2019. We follow Nicholls et al. [37] to construct a timeseries of historic baseline emissions from 1850- 2019 resolved by gas. Next, we remove emitter- specific contributions from these baseline emissions (Fig. 1). To this end, we rely on a dataset of consumption- based carbon dioxide equivalent \(\mathrm{CO_2 - e}\) ) emissions by country and income decile between 1990- 2019 [3]. The estimates relate to all emissions except emissions from agriculture, forestry and other land- use (AFOLU). Our analysis requires us to make assumptions about how to disaggregate the reported basket emissions into individual gases. We focus on decomposing emissions into \(\mathrm{CO_2}\) , nitrogen oxide \(\mathrm{(N_2O)}\) and methane \(\mathrm{(CH_4)}\) . These three gases make up \(98.7\%\) of total global greenhouse gas emissions (excluding AFOLU) [38]. The composition of production- side GHG emissions varies strongly by country, ranging from primarily \(\mathrm{CO_2}\) - based emissions (e.g. Singapore), to almost equal shares between \(\mathrm{CO_2}\) and \(\mathrm{CH_4 / N_2O}\) (e.g. Qatar) and, particularly in least developed countries, primarily \(\mathrm{CH_4 / N_2O}\) (e.g. Chad) [39]. The carbon inequality dataset from [3] employs input- output tables that re- distribute production- side emissions to consumers across countries. About half of global methane emissions are embodied in global trade with household consumption dominating the final demand category [40]. Given these considerations and a lack of alternative data, we chose to apply the same decomposition assumptions across countries and emitter groups. For our central estimate, we assume that emissions for each GHG scale proportionally with the globally aggregated emissions. To test the sensitivity to this assumption we provide two extreme cases in which the wealthy emitters 1) solely emit carbon \(\mathrm{CO_2}\) - case) or 2) solely emit \(\mathrm{CH_4}\) and \(\mathrm{N_2O}\) (non- \(\mathrm{CO_2}\) - case). Note that in the \(2^{\mathrm{nd}}\) case, the emissions associated with the global top \(10\%\) are larger than the total global \(\mathrm{CH_4}\) and \(\mathrm{N_2O}\) emissions combined and we remove the excessive emissions from the \(\mathrm{CO_2}\) timeseries (converting to \(\mathrm{CO_2}\) - e using GWP100). We find that the disaggregation into dominant non- \(\mathrm{CO_2}\) GHGs, \(\mathrm{CH_4}\) and \(\mathrm{N_2O}\) , has a strong impact on the results (Fig. 2 Panels a&e). In the \(\mathrm{CO_2}\) - case the inequality in contributions to GMT levels persists, but is slightly below the inequality in GHG basket emissions. For the non- \(\mathrm{CO_2}\) - case, warming inequality is strongly amplified. This is expected given the near- term warming potential of non- \(\mathrm{CO_2}\) GHGs (see Supplementary 5.2).
+
+Emulator- based Modelling Approach. We transform counterfactual emissions into grid- point level distributions of temperature and precipitation and subsequently compute the SPEI- 3 indicator as a potential drought measure from the emulated data. The emulation consists of two steps: first, converting emissions into GMT; and second translating GMT into grid- point level monthly mean temperature and precipitation distributions (Fig. 1). The first translation step is carried out with the Model for the Assessment of the Greenhouse Gas induced Climate Change (MAGICC) [10,41,41]. MAGICC is a simple, computationally efficient climate model for global climate indicators. Our temperature outcomes are calculated with MAGICC v7.5 in a probabilistic setting that reflects the assessed uncertainty ranges from the IPCC's Sixth Assessment Report see [42]. We generate 600 GMT trajectories for each scenario. The second translation steps is carried out using the Modular Earth System Model Emulator for Monthly Temperature and Precipitation
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+(MESMER- M- TP)[111]. MESMER- M- TP combines parametric approaches and stochastic sampling to approximate the behaviour of individual climate models. For any climate model, the emulator can be calibrated on a small set of actual climate model data and then generates gridded temperature and precipitation data that statistically resemble the climate model data. Here, we calibrate MESMER- M- TP on 24 different models from the sixth phase of the Coupled Model Intercomparison Project (CMIP6) (see Supplementary Table S3). Subsequently, we convert each GMT trajectory into a single gridded timeseries of temperature and precipitation. We compute the SPEI- 3 indicator following[20] and rely on the gamma distribution for normalisation. This leaves us with a dataset containing 3 variables x 600 realisations x 2,652 grid- points x 170 years x 12 months for each scenario.
+
+Attribution Framework. Traditional attribution studies typically aim at understanding how climate change altered the statistics of a specified observed extreme. Our study deviates from this approach. We are interested in understanding the extent to which changes in a broad class of historic extremes can be related to emissions from specific emitter groups. Therefore, we use the framework for event attribution (EA) as a guideline[14] but modify it according to our research questions. Most importantly, our analysis fully relies on modelled data meaning we are not taking observational data into account. Hence, the EA framework reduces to three essential steps: first, we define extreme events; second, we perform an analysis using emulated (climate model) data and last, we synthesise the hazards into an attribution statement.
+
+Extreme event definition. We define extreme events relative to the reference period 1850- 1900 and focus on 1- in- 50, 1- in- 100 and 1- in- 10,000 year (unprecedented) events.
+
+Climate model analysis and Hazard synthesis. We use the modelled distribution of climatic variables over the reference period at each grid- point to derive grid- point specific intensity thresholds for our defined events. To assess frequency changes, we count how many times the reference intensity threshold is exceeded in a present- day (2020) climate and in a counterfactual 2020 climate and attribute the difference to a specific emitter group. Similarly, to quantify intensity changes, we assess how hot (dry) a specific extreme event would be in present- day climate and in the counterfactual climate and attribute the difference in thresholds.
+
+## AUTHOR CONTRIBUTIONS
+
+All authors conceived the study. S.S. performed the data analysis and wrote the manuscript with contributions from all authors. All authors have read and agreed to the published version of the manuscript.
+
+## DATA AVAILABILITY
+
+The data generated for this study is available at[43]. The results can be reproduced using public data records. The starting point of our analysis are timeseries of \(\mathrm{CO_2}\) - e per capita emissions from[3]. We further use historic emissions available through[37] compiled from[39,44- 52]. We rely on MAGICC v7.5[10,41,41] to translate our input data into GMT levels. We then rely on MESMER- M- TPv0.1.0[53,54] to generate a large- ensemble of temperature and precipitation data.
+
+## ACKNOWLEDGMENTS
+
+S.S. acknowledges support by the German Federal Environmental Foundation (DBU). S.S. and C.F.S. acknowledge funds by European Union's Horizon 2020 Research and Innovation Programme under Grant No. 101003687 (PROVIDE). Z.N. acknowledges support from the European Union's Horizon 2020 Research and Innovation Funding Programme (Grant No. 101003536, Earth System Models for the Future, ESM2025). R.H. acknowledges funding by the European Union's Horizon Europe Programme under Grant Agreement No. 101094551 (SPES). The authors furthermore gratefully acknowledge funding from IIASA and the National Member Organizations that support the institute.
+
+## CONFLICTS OF INTEREST
+
+The authors declare no conflict of interest.
+
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[74] Martin Schupfner, Karl- Hermann Wieners, Fabian Wachsmann, Sebastian Milinski, Christian Steger, Matthias Bittner, Johann Jungclaus, Barbara Früh, Klaus Pankatz, Marco Giorgetta, Christian Reick, Stephanie Legutke, Monika Esch, Veronika Gayler, Helmuth Haak, Philipp de Vrese, Thomas Raddatz, Thorsten Mauritsen, Jin- Song von Storch, Jörg Behrens, Victor Brovkin, Martin Claussen, Traute Crueger, Irina Fast, Stephanie Fiedler, Stefan Hagemann, Cathy Hohenegger, Thomas Jahns, Silvia Kloster, Stefan Kinne, Gitta Lasslop, Luis Kornblueh, Jochem Marotzke, Daniela Matei, Katharina Meraner, Uwe Mikolajewicz, Kameswarrao Modali, Wolfgang Müller, Julia Nabel, Dirk Notz, Karsten Peters- von Gehlen, Robert Pincus, Holger Pohlmann, Julia Pongratz, Sebastian Rast, Hauke Schmidt, Reiner Schnur, Uwe Schulzweida, Katharina Six, Bjorn Stevens, Aiko Voigt, and Erich Roeckner. DKRZ MPI- ESM1.2- LR model output prepared for CMIP6 scenarioMIP, 2021. URL https://doi.org/10.22033/ESGF/CMIP6.15349. [75] Seiji Yukimoto, Tsuyoshi Koshiro, Hideaki Kawai, Naga Oshima, Kohei Yoshida, Shogo Urakawa, Hiroyuki Tsujino, Makoto Deushi, Taichu Tanaka, Masahiro Hosaka, Hiromasa Yoshimura, Eiki Shindo, Ryo Mizuta, Masayoshi Ishii, Atsushi Obata, and Yukimasa Adachi. MRI MRI- ESM2.0 model output prepared for CMIP6 scenarioMIP, 2019. URL https://doi.org/10.22033/ESGF/CMIP6.638. [76] Jian Cao. NUIST NESMv3 model output prepared for CMIP6 scenarioMIP, 2019. URL https://doi.org/10.22033/ESGF/CMIP6.2027. [77] Oyvind Seland, Mats Bentsen, Dirk Jan Leo Olivie, Thomas Toniazzo, Ada Gjermundsen, Lise Seland Graff, Jens Boldingh Debernard, Alok Kumar Gupta, Yanchun He, Alf Kirkevåg, Jörg Schwinger, Jerry Tjiputra, Kjetil Schanke Aas, Ingo Bethke, Yuanchao Fan, Jan Griesfeller, Alf Grini, Chuncheng Guo, Mehmet Ilicak, Inger Helene Hafshal Karset, Oskar Andreas Landgren, Johan Liakka, Kine Onsum Moseid, Aleksi Nummelin, Clemens Spensberger, Hui Tang, Zhongshi Zhang, Christoph Heinze, Trond Iversen, and Michael Schulz. NCC NorESM2- LM model output prepared for CMIP6 scenarioMIP, 2019. URL https://doi.org/10.22033/ESGF/CMIP6.604. [78] Mats Bentsen, Dirk Jan Leo Olivie, Oyvind Seland, Thomas Toniazzo, Ada Gjermundsen, Lise Seland Graff, Jens Boldingh Debernard, Alok Kumar Gupta, Yanchun He, Alf Kirkevåg, Jörg Schwinger, Jerry Tjiputra, Kjetil Schanke Aas, Ingo Bethke, Yuanchao Fan, Jan Griesfeller, Alf Grini, Chuncheng Guo, Mehmet Ilicak, Inger Helene Hafshal Karset, Oskar Andreas Landgren, Johan Liakka, Kine Onsum Moseid, Aleksi Nummelin, Clemens Spensberger, Hui Tang, Zhongshi Zhang, Christoph Heinze, Trond Iversen, and Michael Schulz. NCC NorESM2- MM model output prepared for CMIP6 scenarioMIP, 2019. URL https://doi.org/10.22033/ESGF/CMIP6.608. [79] Peter Good, Alistair Sellar, Yongming Tang, Steve Rumbold, Rich Ellis, Douglas Kelley, Till Kuhlbrodt, and Jeremy Walton. MOHC UKESM1.0- LL model output prepared for CMIP6 scenarioMIP, 2019. URL https://doi.org/10.22033/ESGF/CMIP6.1567. [80] Shabtai Cohen and Gerald Stanhill. Chapter 29 - widespread surface solar radiation changes and their effects: Dimming and brightening. In Trevor M. Letcher, editor, Climate Change (Second Edition), pages 491- 511. Elsevier, Boston, second edition edition, 2016. ISBN 978- 0- 444- 63524- 2. doi: https://doi.org/10.1016/ B978- 0- 444- 63524- 2.00029- 4. URL https://www.sciencedirect.com/science/article/pii/
+
+<--- Page Split --->
+
+B9780444635242000294.
+
+[81] Aolin Jia, Shunlin Liang, Dongdong Wang, Bo Jiang, and Xiaotong Zhang. Air pollution slows down surface warming over the tibetan plateau. Atmospheric Chemistry and Physics, 20(2):881- 899, 2020. [82] Zhili Wang, Lei Lin, Yangyang Xu, Huizheng Che, Xiaoye Zhang, Hua Zhang, Wenjie Dong, Chense Wang, Ke Gui, and Bing Xie. Incorrect asian aerosols affecting the attribution and projection of regional climate change in cmip6 models. npj Climate and Atmospheric Science, 4(1):2, 2021.
+
+<--- Page Split --->
+
+## Supplementary Files
+
+This is a list of supplementary files associated with this preprint. Click to download.
+
+- supplement.pdf- AttributedGMT.csv- processedextremesfrequency.csv- processedextremesintensity.csv
+
+<--- Page Split --->
diff --git a/preprint/preprint__02624773f6e6ce56158b53f0fcddcdef4027c464f514126d8dae690687431871/images_list.json b/preprint/preprint__02624773f6e6ce56158b53f0fcddcdef4027c464f514126d8dae690687431871/images_list.json
new file mode 100644
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+ "footnote": [],
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+ {
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+ {
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+ "img_path": "images/Figure_7.jpg",
+ "caption": "Figure 7 FG-4592 significantly mitigates CDAA-HFD diet induced NASH CDAA-HFD-fed mice were treated with vehicle or FG-4592 for 8 weeks (n=6 mice/group). A, liver weights. B, ratios of liver mass to body mass. C, serum ALT. D, serum AST. E, representative H&E (up), and Sirius Red (down) staining of liver",
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@@ -0,0 +1,535 @@
+
+# Sphingosine d18:1 Promotes Nonalcoholic Steatohepatitis by Inhibiting Macrophage HIF-2α
+
+Changtao Jiang
+
+jiangchangtao@bjmu.edu.cn
+
+Department of Physiology and Pathophysiology, School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University https://orcid.org/0000- 0002- 5206- 2372
+
+Jialin Xia School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+Hong Chen School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+Xiaoxiao Wang Peking University People's Hospital
+
+Weixuan Chen School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+Jun Lin School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+Feng Xu School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+Qixing Nie School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+Chuan Ye School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+Bitao Zhong School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+Min Zhao School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+Chuyu Yun School of Basic Medical Sciences, Peking University
+
+Guangyi Zeng School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+Sen Yan School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+Xuemei Wang School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+<--- Page Split --->
+
+Lulu Sun School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+Feng Liu Peking University People's Hospital
+
+Huiying Rao Peking University People's Hospital
+
+Yanli Pang
+
+Yanli Pang Center for Reproductive Medicine, Department of Obstetrics and Gynecology, Peking University Third Hospital https://orcid.org/0000- 0003- 1967- 2416
+
+## Article
+
+Keywords: NASH, macrophage, HIF- 2α, sphingosine
+
+Posted Date: July 11th, 2023
+
+DOI: https://doi.org/10.21203/rs.3.rs- 3092076/v1
+
+License: © This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+Additional Declarations: There is NO Competing Interest.
+
+Version of Record: A version of this preprint was published at Nature Communications on June 4th, 2024. See the published version at https://doi.org/10.1038/s41467- 024- 48954- 2.
+
+<--- Page Split --->
+
+# Sphingosine d18:1 Promotes Nonalcoholic Steatohepatitis by Inhibiting
+
+## Macrophage HIF-2α
+
+Jialin Xia \(^{1,2,3,7}\) , Hong Chen \(^{1,4,7}\) , Xiaoxiao Wang \(^{6,7}\) , Weixuan Chen \(^{4}\) , Jun Lin \(^{1,2,3}\) , Feng Xu \(^{1,2,3}\) , Qixing Nie \(^{1,2,3}\) , Chuan Ye \(^{1,2,3}\) , Bitao Zhong \(^{1}\) , Min Zhao \(^{4}\) , Chuyu Yun \(^{4}\) , Guangyi Zeng \(^{1,2,3}\) , Sen Yan \(^{4}\) , Xuemei Wang \(^{1,2,3}\) , Lulu Sun \(^{5}\) , Feng Liu \(^{6}\) , Huiying Rao \(^{6,*}\) , Changtao Jiang \(^{1,2,3,*}\) and Yanli Pang \(^{1,4,*}\)
+
+\(^{1}\) Department of Physiology and Pathophysiology, School of Basic Medical Sciences, Center for Reproductive Medicine, Third Hospital, Peking University, Beijing, China
+
+\(^{2}\) Center of Basic Medical Research, Institute of Medical Innovation and Research, Peking University Third Hospital, Beijing, China.
+
+\(^{3}\) Center for Obesity and Metabolic Disease Research, School of Basic Medical Sciences, Peking University, Beijing, China.
+
+\(^{4}\) State Key Laboratory of Female Fertility Promote, Center for Reproductive Medicine,
+
+Department of Obstetrics and Gynecology, Peking University Third Hospital, Beijing, China.
+
+\(^{5}\) Department of Endocrinology and Metabolism, Peking University Third Hospital, Beijing, China.
+
+\(^{6}\) Peking University People's Hospital, Peking University Hepatology Institute, Beijing Key
+
+Laboratory of Hepatitis C and Immunotherapy for Liver Diseases, Beijing International
+
+Cooperation Base for Science and Technology on NAFLD Diagnosis, Beijing, China.
+
+\(^{7}\) These authors contribute equally.
+
+\(^{*}\) Correspondence: yanlipang@bjmu.edu.cn (Yanli Pang), jiangchangtao@bjmu.edu.cn (Changtao Jiang), raohuiying@pkupb.edu.cn (Huiying Rao)
+
+<--- Page Split --->
+
+## Conflict of interest
+
+The authors declare no conflicts of interest that pertain to this work.
+
+## Financial support
+
+This work was supported by the National Natural Science Foundation of China (No. 82130022, 31925021, 82022028, 82288102, 91857115, 81921001, and 92149306), and the National Key Research of Development Program of China (no. 2018YFA0800700 and 2022YFA0806400).
+
+## Author contributions
+
+Y.P, C.J. and J.X. conceptualized and designed the study. J.X, H.C., X.W., F.X., Q.N., C.Y., B.Z., M.Z., C.Y.Y., G.Z., S.Y. and F.L. performed the experiments and analyzed the data. Y.P., C.J. and H.R supervised the study. J.X. and H.C. wrote the manuscript with input from all authors. J.L., X.M.W. and L.S. revised the manuscript. J.X, H.C. and X.W. contributed equally to this work. All authors edited the manuscript and approved the final manuscript.
+
+<--- Page Split --->
+
+## Abstract
+
+Non- alcoholic steatohepatitis (NASH) is a severe type of the non- alcoholic fatty liver disease (NAFLD). NASH is a growing global health concern due to its increasing morbidity, lack of well- defined biomarkers and lack of clinically effective treatments. Using metabolomic analysis, the most significantly changed active lipid sphingosine d18:1 [So(d18:1)] was selected from NASH patients. So(d18:1) inhibits macrophage HIF- 2α as a direct inhibitor and promotes the activation of NLRP3 inflammasome. Macrophage- specific HIF- 2α knockout and overexpression mice verified the effect of HIF- 2α on NASH progression. Importantly, the HIF- 2α stabilizer FG- 4592 alleviated liver inflammation and fibrosis in NASH, which indicated that macrophage HIF- 2α was a potential drug target for NASH treatment. Overall, this study confirms that So(d18:1) promotes NASH and clarifies that So(d18:1) inhibits the transcriptional activity of HIF- 2α in liver macrophages by suppressing the interaction of HIF- 2α with ARNT, suggesting that macrophage HIF- 2α may be a new target for the treatment of NASH.
+
+## Key words
+
+NASH, macrophage, HIF- 2α, sphingosine
+
+## Introduction
+
+With lifestyle changes, nonalcoholic fatty liver disease (NAFLD) has become a major chronic disease in contemporary society[1]. NAFLD is a chronic metabolic disease characterized by excessive accumulation of fat in hepatocytes. NAFLD can be divided into simple fatty liver (NAFL) and nonalcoholic steatohepatitis (NASH)[2].
+
+<--- Page Split --->
+
+Chronic liver injury in NASH significantly increases the risk of end- stage liver diseases (such as cirrhosis and liver cancer). However, there is no effective drug for NASH in clinical practice[3]. Therefore, clarifying the key molecular mechanism of the occurrence and development of NASH will help to develop new strategies for anti- NASH treatment.
+
+The classical theory of NASH pathogenesis is that NASH is caused by the excessive accumulation of lipids in hepatocytes. Then, extreme oxidative stress and inflammation further induce hepatocyte death and the development of inflammation and fibrosis[4]. Sphingolipids are lipids with high biological activity and are one of the main factors affecting the progression of NASH. Sphingolipids mainly include ceramide and sphingosine- 1- phosphate (S1P), and sphingosine is an intermediate product between them[5]. Previous studies have found changes in ceramide and S1P levels in NASH patients[6]. However, they both failed to act as sensitive biomarkers to guide disease diagnosis in NASH because of their widespread variation in many other early- stage NAFLD patients. Sphingosine has not only been found to vary in NAFL[7, 8] but has even been found to be useful as a biomarker to predict cirrhosis[9].
+
+Here, we found that So(d18:1) increases significantly in patients with NASH by metabolomics profiling analysis. So(d18:1) promotes liver inflammation and fibrosis in the NASH model. RNA- seq data revealed that So(d18:1) inhibits HIF- 2α expression. Macrophage- specific knockout or overexpression of HIF- 2α has been used to clarify the role of macrophage HIF- 2α in NASH development. Mechanistically, So(d18:1) inhibits macrophage HIF- 2α by inhibiting its combination with ARNT and then
+
+<--- Page Split --->
+
+promotes the excessive activation of the macrophage NLRP3 inflammasome, increasing the secretion of inflammatory factors. Notably, we found that the pharmacological activation of macrophage HIF- \(2\alpha\) by FG- 4592, a HIF prolyl hydroxylase inhibitor that is approved for the treatment of anaemia in China, had preventive effects on NASH in mice. This work suggests that macrophage HIF- \(2\alpha\) is a novel target for the treatment of NASH.
+
+## Results
+
+## 1. Disturbances in sphingolipid metabolism in NASH patients
+
+In the Chinese patient population, we employed a metabolomics screen of NASH patients and healthy volunteers (Table S1). The results showed that the changes in the sphingolipid pathway are the most concentrated, significant and dramatic compared to other lipids that are considered to change routinely (Figure 1A). After that we further examined the whole sphingolipidome using targeted metabolomics (Figure 1B). Principal component analysis (PCA) showed a clear separation between the healthy volunteers and NASH patients (Figure 1C). The VIP score indicated a significant increase in the levels of several sphingolipids, especially So(d18:1) (Figure 1D).
+
+We fed the mice with CDAA- HFD for 8 weeks to establish NASH mice model. Serum So(d18:1) concentrations was assayed in NASH model mice, and the trend of increasing serum So(d18:1) concentrations in mice was exactly the same as the trend of increasing ALT and AST levels (Figure S1H- J). In human cohort, So(d18:1) accumulated largely in serum of NASH patients (Figure S1D) and increased as the
+
+<--- Page Split --->
+
+disease progresses (Figure S1E). Moreover, the concentration of So(d18:1) was positively correlated with serum ALT, AST levels and Fibrosan index (Figure 1E- 1G). These results suggested that So(d18:1) concentrations may be closely related to NASH progression. However, So(d18:1) relative concentration in whole liver tissue didn't show any change between healthy and NASH mice (Figure S1K), that suggests the origin of So(d18:1) may not from hepatocytes.
+
+In our sphingolipidome results, the upstream and downstream metabolites of sphingosine, ceramide and S1P, were also altered in content. In our previous study, we had found that ceramide was enriched in NASH patients similarly[6]. But ceramides did not increase more with disease progression (Figure S1A). S1p and the other type of sphingosines also failed to show any growth trends during the progression of NASH (Figure S1B- C). These results further demonstrated the unique indicative role of So(d18:1) in the progression of NASH.
+
+Hepatic steatosis and lobular inflammation are two important features of the NASH. We analysed the relationship between So(d18:1) levels and these two aspects. There was no significant increase in the So(d18:1) level as hepatic steatosis progressed (Figure S1F). However, the So(d18:1) concentration gradually increased with the aggravation of lobular inflammation (Figure S1G), suggesting that the function of So(d18:1) may be related to lobular inflammation.
+
+## 2. So(d18:1) aggravates inflammation and fibrosis in NASH
+
+To test whether So(d18:1) is involved in the progression of NASH, CDAA- HFD- fed mice accepted a simultaneous intraperitoneal injection of So(d18:1). There was no
+
+<--- Page Split --->
+
+significant difference in the liver weight or body weight between the two groups of mice (Figure 2A- B and S2A). The levels of ALT and AST in the serum of mice injected with So(d18:1) were significantly higher than those in control mice (Figure 2C- D), which suggests that So(d18:1) exacerbated liver damage in mice. While there were no differences in liver triglyceride (TG), serum TG and serum non- esterified fatty acid (NEFA) levels, there was also no difference in liver and serum cholesterol (CE) levels (Figure S2B- F). For a clearer image of the liver damage in mice, we made pathological sections and performed H&E staining and Sirius red staining. The pathological sections showed that So(d18:1) treatment increased the fibrosis, lobular inflammation and NASs but did not affect the histology score of hepatic steatosis (Figures 2E- 2J). Consistently, the mRNA expression of inflammation genes and fibrosis genes was significantly upregulated in the liver of the So(d18:1) group compared with that of the vehicle group (Figure 2K- L), while the lipid metabolism genes were mostly not different between the two groups (Figure S2G). Collectively, these results suggest that So(d18:1) can exacerbate lobular inflammation and fibrosis in the livers of NASH mice.
+
+## 3. So(d18:1) inhibits HIF-2α transcription function in liver macrophages
+
+So(d18:1) can exacerbate lobular inflammation in the liver of NASH, suggesting that it alters the immune status of the liver, so we focused on immune cells for in- depth study. To confirm the changes of various immune cells during the development of NASH, a set of public single- cell RNA- sequencing data from the livers of NASH mice was located and analysed[10]. The results showed an increase of all kinds of immune cells in the livers of NASH mice. However, the largest proportion of these cells were
+
+<--- Page Split --->
+
+macrophages and monocytes. Importantly, they were recruited to the livers much earlier than other immune cells (Figure S3A- B). We therefore wanted to see whether So(d18:1) would also cause changes in macrophage proportion. We administered So(d18:1) intraperitoneally to mice for 1 week, results showed that So(d18:1) increased the proportion of liver macrophages among all immune cells (Figure S3C, 3A- B).
+
+To search for the mechanisms by which So(d18:1) promotes macrophages activation, we treated mouse bone- marrow derived macrophages (BMDM) with So(d18:1) or control vehicle under inflammatory stimulation and performed RNA sequencing to explore the changed genes pathways. GO:BP pathway enrichment showed that hypoxia- related pathways were changed significantly between the control and So(d18:1) groups (Figure 3C). There are two transcription factors that play a major role in the hypoxia- related signalling pathway, HIF- 1α and HIF- 2α. We further targeted the signalling pathways regulated by these two transcription factors for enrichment analysis. BP pathway enrichment revealed transcriptional changes in the HIF- 2α- regulated signalling pathway (Figure 3D), while HIF- 1α signalling pathway was not changed (Figure S3D).
+
+To validate the RNA- seq results, we treated mouse BMDMs with So(d18:1). The results showed that the transcription levels of the Hif2α gene were not changed, but its downstream genes Arg1, Vegf, Spint, Depdc7 and Il10 decreased after So(d18:1) treatment (Figure 3E). We also detected Hif1α and its downstream genes and their expression levels were unchanged (Figure S3E). As for the protein levels of HIF- 2α, the results showed that So(d18:1) treatment could significantly inhibit the protein
+
+<--- Page Split --->
+
+expression of HIF- 2α (Figure 3F).
+
+Intrahepatic macrophages IL- 1β and IL- 18 secretion due to NLRP3 inflammasome activation is an important mechanism that promotes the progression of NASH[11]. Our previous study also found that macrophage HIF- 2α could suppress NLRP3 inflammasome activation by inhibiting CPT1A[12]. Results showed that So(d18:1) administration could increase NLRP3 inflammasome assembly therefore increase Caspase- 1 cleavage, while HIF- 2α overexpression could quell the stimulation caused by So(d18:1) (Figure 3G). IL- 1β and IL- 18 secretion levels also confirmed that So(d18:1) promoted NLRP3 inflammasome activation, but not in HIF- 2α overexpressing macrophages (Figure 3H- I).
+
+This may be the cellular mechanism by which So(d18:1) activates macrophages to promote hepatic inflammation in NASH. And the above mechanism was regulated by HIF- 2α.
+
+## 4. Macrophage-specific HIF-2α deletion aggravates inflammation and fibrosis in NASH
+
+To investigate whether HIF- 2α- mediated activation of the NLRP3 inflammasome can influence NASH disease progression, we fed \(Hif2\alpha^{\mathrm{f/f}}\) and \(Hif2\alpha^{\mathrm{ALysm}}\) mice a GAN diet for 24 weeks to compare the severity of inflammation and fibrosis in the liver. There was no significant difference in body weight between the two groups of mice (Figure S4A). Liver weight and the ratio of liver weight to body weight were significantly increased in \(Hif2\alpha^{\mathrm{ALysm}}\) mice compared with \(Hif2\alpha^{\mathrm{f/f}}\) mice (Figures 4A- B). Moreover, the levels of ALT and AST in the serum of \(Hif2\alpha^{\mathrm{ALysm}}\) mice were
+
+<--- Page Split --->
+
+significantly higher than those in Hif2αfl/fl mice, suggesting that knockdown of Hif2α exacerbates the disease symptoms of NASH (Figure 4C- D). Next, we examined the changes in lipids in the liver tissue and plasma of the two groups of mice. The results revealed that the concentrations of serum TG, CE, and NEFAs and hepatic TG and CE were not significantly different between Hif2αfl/fl mice and Hif2αΔLysm mice (Figure 4C- F). This result suggests that knockdown of macrophage Hif2α does not affect total lipid metabolism or consequently exacerbate lipid accumulation in the liver.
+
+To further determine the changes in the levels of inflammation and fibrosis within the mouse liver to determine the progression of NASH, pathological sections were made from the livers of the two groups of mice to observe the extent of liver injury in the mice (Figure 4E). The degree of hepatic steatosis was consistent between the two groups of mice (Figure 4G), and there was no significant difference in the ballooning score (Figure 4I). However, mice in the Hif2αΔLysm group had more foci of inflammation in the liver, with a large number of mononuclear macrophages diffusely distributed and a significantly higher inflammation score in the liver lobules than in the Hif2αfl/fl group (Figure 4H). The sections were also stained with Sirius red (Figure 4E), and the fibrosis area was quantified to show that the Hif2αΔLysm group had a significantly greater fibrosis area than that of the Hif2αfl/fl group (Figure 4F). These results demonstrate that macrophage Hif2α knockdown can indeed significantly exacerbate NASH symptoms and promote inflammatory activation and fibrosis formation.
+
+Consistently, the mRNA expression of inflammation genes and fibrosis genes was significantly upregulated in the livers of Hif2αΔLysm mice compared with that of Hif2αfl/fl
+
+<--- Page Split --->
+
+mice (Figure 4K- L), while the lipid metabolism genes were not different between the two groups (Figure S4G). Collectively, these data showed that genetic disruption of macrophage- specific HIF- \(2\alpha\) accelerated hepatic inflammation and fibrosis but did not affect hepatic steatosis.
+
+## 5. Macrophage-specific HIF-2α overexpression alleviated inflammation and fibrosis in NASH
+
+To further verify the role of macrophage HIF- \(2\alpha\) overexpression in NASH, \(Hif2\alpha^{+ / + }\) and LysMHif2αLSL/LSL mice were fed a GAN diet for 24 weeks. There was no significant difference in body weight between the two groups of mice (Figure S5A). The liver weight and the ratio of liver weight to body weight tended to decrease in LysMHif2αLSL/LSL mice compared with \(Hif2\alpha^{+ / + }\) mice (Figures 5A- B). The levels of ALT and AST in the serum were significantly lower in LysMHif2αLSL/LSL mice than in \(Hif2\alpha^{+ / + }\) mice (Figures 5C- 5D), suggesting that \(Hif2\alpha\) overexpression can protect the liver and reduce liver injury. We also measured TG, total CE and NEFA levels in the liver and plasma to investigate whether macrophage- specific \(Hif2\alpha\) overexpression could reduce fat accumulation in the liver, but there were no differences between the two groups in any of these parameters (Figure S5B- F).
+
+The liver tissues of \(Hif2\alpha^{+ / + }\) and LysMHif2αLSL/LSL mice were also paraffin sectioned and stained with H&E and Sirius red. The H&E staining results showed that there was no significant difference in the steatosis scores between the two groups (Figure 5G). However, the LysMHif2αLSL/LSL group mice had fewer inflammatory foci in the liver, so their hepatic lobular inflammation scores were significantly lower than those of the
+
+<--- Page Split --->
+
+Hif2α+/+ group mice (Figure 5H), their hepatocyte ballooning scores were also significantly lower (Figure 5I), and the final calculated NAS of the LysMHif2αLSL/LSL group mice was significantly lower than that of the Hif2α+/+ group mice (Figure 5J). We next examined Sirius red- stained sections, and it was evident that intrahepatic fibrosis production was reduced in the LysMHif2αLSL/LSL group of mice (Figure 5E- F). The above results suggest that macrophage Hif2α overexpression may inhibit macrophage activation and thus stellate cell activation, reducing fibrogenesis and protecting the liver from damage during NASH.
+
+Consistently, the mRNA expression of inflammation- related genes and fibrosis- related genes was significantly downregulated in the livers of LysMHif2αLSL/LSL mice compared with Hif2α+/+ mice (Figure 5K- L), while the lipid metabolism- related genes were not different between the two groups (Figure S5G). Collectively, these data showed that macrophage- specific HIF- 2α overexpression ameliorated hepatic inflammation and fibrosis but did not affect hepatic steatosis.
+
+## 6. So(d18:1) reduces the transcriptional activity of HIF-2α
+
+In previous results, we have verified that So(d18:1) could promote NLRP3 inflammasome activation in macrophages and identified HIF- 2α as a key transcription factor by which So(d18:1) alters the inflammatory state of macrophages. Therefore, how does the increased So(d18:1) in NASH patients affect HIF- 2α protein function in macrophages? We conducted a more in- depth mechanistic study to address this question. First, to determine whether So(d18:1) could inhibit HIF- 2α transcriptional activity, we constructed a HIF response element (HRE)- based luciferase reporter assay and treated
+
+<--- Page Split --->
+
+the cells with control solvent, So(d18:1) and HIF- 2α- specific inhibitor PT2385 as positive control. Fluorescein detection showed that So(d18:1) could significantly inhibit the transcriptional activity of HIF- 2α (Figure 6A). The transcriptional action of HIF- 2α requires binding to the ARNT subunit. Thus, we utilized a mammalian two- hybrid system that could further verified that So(d18:1) repressed the transcriptional function of HIF- 2α by inhibiting the binding of ARNT (Figure 6B). In addition, coimmunoprecipitation was performed to determine that So(d18:1) directly disrupted the direct binding of HIF- 2α to ARNT (Figure 6C).
+
+HIF- 2α has a hydrophobic pocket PAS- B domain to bind with ARNT[13]. Structural prediction by docking revealed some potential for So(d18:1) to fill into this hydrophobic pocket (Figure 6D). So, we constructed a HIF- 2α plasmid with two proven missense mutations in the pocket which disabled other molecules to bind with HIF- 2α. Luciferase reporter system was performed, and the results showed that So(d18:1) could normally inhibit the binding of wild- type HIF- 2α to ARNT but not that of mutant HIF- 2α to ARNT (Figure 6E). From these results, we learned that So(d18:1) may fill into the hydrophobic pocket of HIF- 2α and thereby inhibit the binding of HIF- 2α to ARNT, which impedes HIF- 2α entry into the nucleus for transcriptional regulation. HIF- 2α that remains in the cytoplasm is very easily hydrolysed and therefore protein levels are reduced. This finding also explained why So(d18:1) can only change the protein expression level of HIF- 2α but not the mRNA expression level.
+
+HIF- 2α regulates metabolism reprogramming by binding to the rHRE region on the Cpt1a promoter[12]. We therefore transfected a luciferase reporter gene plasmid
+
+<--- Page Split --->
+
+containing a Cpt1a rHRE region with a HIF- 2α plasmid or empty plasmid into cells, treated with control solvent or So(d18:1) and observed the fluorescence activity ratio. The results showed that in the vehicle group, the fluorescence values of HIF- 2αTM- transfected cells were lower than those with empty plasmid, indicating that overexpression of HIF- 2α inhibited the transcription of Cpt1a rHRE- linked luciferase. In contrast, the overexpression of HIF- 2α in the So(d18:1) group did not affect the transcription of Cpt1a rHRE- linked luciferase, as it was unable to bind to ARNT and localize to the rHRE region in the nucleus, so the fluorescence values of HIF- 2αTM- plasmid- transfected cells were similar to the fluorescence values of the empty plasmid group (Figure 6F).
+
+The above results suggest that So(d18:1) could inhibits the binding of HIF- 2α to ARNT, thus promoting NLRP3 inflammasome activation and promotes NASH disease progression. These results also suggest to us the possibility that lipids bind directly to transcription factors and regulate their functions, showing us new mechanisms by which lipids influence cellular metabolism.
+
+## 7. Stabilization of HIF-2α expression in macrophages significantly alleviated inflammation and fibrosis in NASH
+
+We further investigated the therapeutic effect of the specific HIF- 2α agonist FG- 4592 in treating NASH. SPF mice were given a CDAA- HFD diet for 8 weeks and were administered vehicle or FG- 4592 (25 mg/kg) by intraperitoneal injection. At the end of the treatment, there was no significant difference in body weight between the two groups of mice (Figure S6A), but there was a significant reduction in liver weight
+
+<--- Page Split --->
+
+(Figure 7A), as well as a significant reduction in the calculated liver weight/body weight ratio (Figure 7B). Measurement of the blood levels of ALT and AST showed significant decreases in both transaminase levels suggestive of liver injury (Figure 7C- D). To assess whether FG- 4592 could improve intrahepatic fat accumulation, we also measured intrahepatic TG (Figure S6B) and blood TG levels (Figure S6C), neither of which showed a significant change. Total intrahepatic CE (Figure S6D) and total plasma CE levels (Figure S6E) were also tested, and there was no significant improvement in either of these results. With respect to NEFAs in the blood, there was also no improvement after FG- 4592 injection (Figure S6F). The above results suggest that although FG- 4592 may improve liver injury, it does not improve lipid accumulation in the liver.
+
+To further observe liver injury in mice, we made paraffin sections of liver tissue from both groups and stained them with H&E and Sirius red. In the H&E- stained sections, we observed that the degree of steatosis in the livers of the two groups of mice was the same, and therefore, there was no difference in the steatosis score (Figure 7G). However, there were significantly fewer foci of inflammation than in the vehicle group, and therefore, the score of the lobular inflammation was lower than that of the vehicle group (Figure 7H). The final calculation of the NASs also showed that FG- 4592 injection reduced the symptoms of NASH in mice (Figure 7J). In Sirius red- stained sections, fibrosis was significantly reduced in the FG- 4592- injected group, and this result could be better visualized by counting the fibrosis area proportion (Figure 7E- F).
+
+After FG- 4592 injection, inflammation- related genes were significantly
+
+<--- Page Split --->
+
+downregulated in the mouse liver (Figure 7K). Additionally, genes related to fibrosis were significantly reduced (Figure 7L). However, genes related to fatty acid uptake and de novo synthesis were slightly changed, with only the expression level of Fasn being reduced (Figure S6G).
+
+In conclusion, FG- 4592 injection can reduce liver fibrosis and improve NASH symptoms by reducing intrahepatic inflammation.
+
+## Discussion
+
+Chronic liver injury caused by NASH can significantly increase the risk of end- stage liver diseases. However, there is currently no effective drug to treat NASH in the clinic. Here, we found that the abundance of So(d18:1) in patients with NASH was significantly increased through metabolomics analysis. So(d18:1) significantly aggravated hepatic lobular inflammation and fibrosis in the livers of NASH model mice. Mechanistically, So(d18:1) inhibits macrophage HIF- 2α binding with ARNT, thus promoting overactivation of the macrophage NLRP3 inflammasome and increasing the secretion of inflammatory factors. This mechanism reveals that macrophage HIF- 2α may be a new target for the treatment of NASH. Based on this finding, we tried to use the HIF- 2α stabilizer FG- 4592 to improve NASH, and the results showed that FG- 4592 alleviated inflammation and fibrosis in NASH.
+
+Liver steatosis is an early event of NASH. A large amount of lipid accumulation in hepatocytes leads to excessive oxidative stress in hepatocytes, which further induces hepatocyte death, thereby activating inflammation and fibrosis in hepatic lobules[4]. In NASH patients, we have seen several significant changes in sphingolipids, such as Cer
+
+<--- Page Split --->
+
+(d18:1/16:0), Cer (d18:1/14:0), Cer (d18:1/20:0), Cer (d18:1/22:0), Cer (d18:1/18:0) and Cer (d18:1/18:0). Their abundances significantly increased in the serum of NASH patients. Our previous work found that the excessive accumulation of nicotine in the intestine can promote the secretion of intestinal ceramide by upregulating the phosphorylation level of SMPD3, thus promoting the progression of NAFLD to NASH[6]. In addition, knocking out alkaline ceramidase 3 (Acer3), which is upregulated in NASH, increases liver Cer (d18:1/18:0) in mice fed a Western diet, reduces oxidative stress and reduces the severity of NASH[14]. S1P released from apoptotic hepatocytes damaged by lipids induces the expression of Trem2 in liver macrophages through S1PR, thereby limiting the occurrence and development of chronic inflammation in NAFLD[15]. These studies suggest that sphingolipid metabolism may play an important role in the pathogenesis of NAFLD. However, none of changes in these sphingolipids perfectly fit the trend of NASH disease exacerbation and indicate the severity of NASH. But So(d18:1) closely related to the disease progression of NASH and was completely consistent with the trends of the changes in the ALT and AST levels representing liver injury. Thus, So(d18:1) is a better indicator of the progression of NASH.
+
+In addition, although sphingosine has not been deeply discussed in previous studies, some studies have found sphingosine in metabolomics[7, 8], and they have even found that So(d18:1) in stool can be used as a biomarker to predict cirrhosis[9]. However, So(d18:1) is usually regarded just as an intermediate product of metabolism between ceramide and S1P, and in- depth mechanistic and functional research is lacking. In this study, we found that So(d18:1) can exist stably in cells at a certain concentration and
+
+<--- Page Split --->
+
+will not be rapidly converted into ceramide or S1P. Our results showed that So(d18:1) can not only promote overactivation of the NLRP3 inflammasome in BMDMs but can also aggravate liver inflammation and fibrosis and promote the progression of NASH in animals.
+
+Regarding the origin of the increased circulating So(d18:1) in NASH patients, we examined the amount of So(d18:1) in the whole liver tissue of NASH- modelled mice and found that the rise in total So(d18:1) in liver tissue was not significant, so we inferred that the increased circulating So(d18:1) was not produced by the liver. The metabolism of ceramide is also known to occur in the gut and adipose tissue, so we will subsequently examine the levels of So(d18:1) in the gut and adipose tissue of NASH- modelled mice at different time points to further investigate the source of the increased circulating So(d18:1). There are also results showed that increased levels of So(d18:1) in the faeces of NASH- cirrhotic patients, which may serve as one of the biomarkers for predicting NASH- cirrhosis[16]. This also suggests that the role of microbiota in sphingolipid metabolism should not be underestimated.
+
+HIF is a heterodimer made up of an oxygen- sensitive \(\alpha\) subunit and a constitutively expressed \(\beta\) subunit (ARNT). Under normoxic conditions, HIF- \(\alpha\) is rapidly hydroxylated and degraded by prolyl hydroxylase (PHD). In contrast, under hypoxia, the activity of prolyl hydroxylase was inhibited, and the HIF protein was stable. HIF- \(2\alpha\) accumulates and translocates to the nucleus and combines with ARNT to form an active transcription factor complex[17]. In NASH, HIF- \(1\alpha\) in macrophages induced by palmitic acid damages autophagic flux and increases IL- \(1\beta\) production, aggravating
+
+<--- Page Split --->
+
+liver injury induced by an MCD diet[18]. Digoxin inhibits the transcription of the HIF- 1a pathway by directly binding to pyruvate kinase M2, thus changing the chromatin structure and reducing NASH[19]. However, the role of HIF- 2α in macrophages in the progression of NASH is still unclear. In this article we have validated the role of HIF- 2α in NASH progression using mice with macrophage- specific knockdown or overexpression of HIF- 2α. Identified that HIF- 2α as a potential target for intervention in NASH.
+
+Rosalistat (FG- 4592) is a mature small- molecule drug that is mainly used to treat chronic kidney disease and anaemia, but its role in metabolic diseases has not yet entered clinical trials. In our previous studies, FG- 4592 injection was used to improve insulin resistance[20]. In this study, FG- 4592 injection significantly reduced the levels of ALT and AST in the livers of mice, suggesting that the degree of liver injury was reduced. In addition, the expression of genes related to inflammation and fibrosis also decreased. The above results showed that FG- 4592 injection can reduce the incidence of NASH. However, many articles have also clarified that the overexpression of HIF- 2α in liver cells plays a worsening role in insulin resistance and fatty liver[21, 22]. Continuous activation of hepatocyte HIF- 2α can damage the transcription of fatty acid \(\beta\) - oxidation- related genes, leading to fat accumulation in the liver[22, 23]. Hepatocyte HIF- 2α stimulated the production of histidine- rich glycoprotein (HRGP) to activate macrophages to polarize to the M1 type, thus causing liver damage. In our study, the administration of FG- 4592 can block the response ability of proinflammatory macrophages, thus playing a protective role. After FG- 4592 reaches the liver, it may
+
+<--- Page Split --->
+
+indeed lead to the accumulation of lipids in the liver, but it also ensures that hepatocytes damaged by lipotoxicity will not cause further macrophage inflammation. Therefore, from the overall animal experimental data, the administration of FG- 4592 still protects the liver from damage in NASH disease. In addition, FG- 4592 can also act on other targets, such as adipose tissue HIF- 2α, and promote the production of erythropoietin[24, 25], which will delay or even improve the disease in many chronic metabolic diseases. Of course, we are also actively seeking ways to improve FG- 4592 drug delivery methods, such as using liposome encapsulation to minimize the side effects induced by FG- 4592 activation of hepatocyte HIF- 2α.
+
+In summary, our study found that the active sphingolipid So(d18:1) has good indicating ability in patients with NASH and that it can bind to HIF- 2α to promote the activation of the NLRP3 inflammasome in macrophages and aggravate liver inflammation and fibrosis in NASH model mice. Macrophage- specific knockout or overexpression of HIF- 2α showed that macrophage HIF- 2α can reduce liver injury and can reduce intrahepatic inflammation and fibrosis. These results not only provide us with a possibility that So(d18:1), a long- chain lipid, binding transcription factor to regulate cellular immune metabolism, but also suggest that the proinflammatory function of So(d18:1) in NASH cannot be ignored. Finally, we used FG- 4592 to improve inflammation and fibrosis in NASH. This study provides new targets and potential therapeutic strategies for NASH.
+
+## Conclusions
+
+Starting from the metabolomics of NASH patients, this study identified So(d18:1),
+
+<--- Page Split --->
+
+which could activate the liver macrophage inflammasome, and found that it could inhibit the binding of the transcription factor HIF- 2α with ARNT. We clarified the role of HIF- 2α in the development of NASH and explored the role of FG- 4592, a stabilizer of HIF- 2α, in combating NASH disease progression. The results suggest that HIF- 2α is a possible new therapeutic target for the treatment of NASH.
+
+## References
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+Figure
+
+Figure 1 Metabolomic analysis revealed changes of sphingosine in NASH patients Metabolic analysis of serum samples collected from NASH patients \((n = 20)\) and healthy control \((n = 20)\) . A, clustering heatmap of metabolic pathway. B, targeted metabonomic detection of sphingolipids. C, PLS-DA analysis of sphingolipids in serum of patients.
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+<--- Page Split --->
+
+D, VIP score plot of the difference sphingolipids between the two groups. E- G, correlative analysis of So(d18:1) concentration in serum with ALT (E), AST (F) and Fibroscan index (G). Correlations between variables were assessed by linear regression analysis. Linear correction index R square and P values were calculated. Data are the means \(\pm\) s.e.m. One- way ANOVA with Tukey's post hoc test.
+
+<--- Page Split --->
+
+
+Figure 2 Sphingosine 18:1 aggravates NASH.
+
+CDAA- HFD- fed mice were treated with vehicle or sphingosine 18:1 for 8 weeks (n=6 mice/group). A, liver weights. B, ratios of liver mass to body mass. C, serum ALT. D, serum AST. E, representative H&E (up), and Sirius Red (down) staining of liver sections. The circles marked the inflammation foci. n=3 mice per group, 3 images per
+
+<--- Page Split --->
+
+mouse. Scale bar is \(100 \mu \mathrm{m}\) . F, the percentage of fibrosis area. G- J, Histology scores of hepatic steatosis (G), lobular inflammation (H), ballooning (I), and NAFLD activity (J). K- L, relative mRNA levels of genes related to hepatic inflammation (K) and fibrosis (L).
+
+Data are the means \(\pm\) s.e.m. A- D, F, J- L, statistical analysis was performed using two- tailed Student's t- tests; G- I, \(IIIb\) in J, statistical analysis was performed using two- tailed Mann- Whitney U- tests.
+
+<--- Page Split --->
+
+
+Figure 3 So(d18:1) inhibits HIF-2α transcription function in liver macrophages.
+
+A and B, flow cytometry representative chart representative showing that macrophages increased after So(d18:1) treatment. (n=3). C, GO:BP pathway enrichment showing the transcriptional level changes of some immune- related pathways. (n=4). D, \(E_{pas1}\) targets enrichment. E, relative mRNA levels of \(Hif2\alpha\) and its downstream target genes in macrophages treated with vehicle or different concentration of So(d18:1). (n=6). F, assessment of HIF-2α protein level of BMDMs stimulated with vehicle and So(d18:1). (n=3). G, representative immunoblot analysis of pro- caspase-1 and caspase-1 from
+
+<--- Page Split --->
+
+Hif2α+/+ and LysMHif2αLSL/LSL BMDMs that were treated with So(d18:1) or not under NLRP3 inflammasome stimulation. (n=3). H and I, protein level of IL- 1β (H), IL- 18 (I) from Hif2α+/+ and LysMHif2αLSL/LSL BMDMs treated with So(d18:1) or not under NLRP3 inflammasome stimulation. (n=6).
+
+Data are the means \(\pm\) s.e.m. B, H, I, statistical analysis was performed using two- tailed Student's t- tests; E, statistical analysis was performed using Kruskal- Wallis test with Dunn's test.
+
+<--- Page Split --->
+
+
+Figure 4 HIF-2α KO in macrophages accelerated inflammation and fibrosis in NASH mice.
+
+Eight- week- old male \(Hif2\alpha^{\mathrm{fl / fl}}\) and \(Hif2\alpha^{\mathrm{ALysm}}\) mice were administered a GAN diet for 24 weeks (SPF, \(n = 6\) mice/group). A, liver weights. B, ratios of liver mass to body mass. C, serum ALT. D, serum AST. E, representative H&E (up), and Sirius Red (down) staining of liver sections. The circles marked the inflammation foci. \(n = 3\) mice
+
+<--- Page Split --->
+
+per group, 3 images per mouse. Scale bar is \(100 \mu \mathrm{m}\) . F, the percentage of fibrosis area.
+
+G- J, Histology scores of hepatic steatosis (G), lobular inflammation (H), ballooning
+
+(I), and NAFLD activity (J). K- L, relative mRNA levels of genes related to hepatic
+
+inflammation (K) and fibrosis (L).
+
+Data are the means \(\pm\) s.e.m. A- D, F, K- L, statistical analysis was performed using two- tailed Student's t- tests; G- J, Col2a1 in L, statistical analysis was performed using two- tailed Mann- Whitney U- tests.
+
+<--- Page Split --->
+
+
+Figure 5 HIF-2α overexpression in macrophages ameliorated inflammation and fibrosis in NASH mice
+
+<--- Page Split --->
+
+Eight- week- old male Hif2α+/+ and LysMHiβ2αLSL/LSL mice were administered a GAN diet for 24 weeks (SPF, n=6 mice/group). A, liver weights. B, ratios of liver mass to body mass. C, serum ALT. D, serum AST. E, representative H&E (up), and Sirius Red (down) staining of liver sections. The circles marked the inflammation foci. n=3 mice per group, 3 images per mouse. Scale bar is 100 μm. F, the percentage of fibrosis area. G- J, Histology scores of hepatic steatosis (G), lobular inflammation (H), ballooning (I), and NAFLD activity (J). K- L, relative mRNA levels of genes related to hepatic inflammation (K) and fibrosis (L).
+
+Data are the means \(\pm\) s.e.m. A- D, F, J- L, statistical analysis was performed using two- tailed Student's t- tests; G- I, Ccl2 in K, statistical analysis was performed using two- tailed Mann- Whitney U- tests.
+
+<--- Page Split --->
+
+
+Figure 6 So(d18:1) suppress the binding of HIF-2α and ARNT
+
+A, PT2385 and So(d18:1) could inhibit HIF- 2α transcription ability. (n=6). B, schematic diagram of mammalian two- hybrid system. PT2385 and So(d18:1) could inhibit HIF- 2α to bind to ARNT. (n=6). C, Co- immunoprecipitation for ARNT and HIF- 2α in HEK293T cells treated with control solvent, So(d18:1) or PT2385, PT2385 and So(d18:1) could inhibit HIF- 2α to bind to ARNT. D, molecule docking prediction of So(d18:1) binding sites in HIF- 2α PAS- B domain. E, schematic diagram of site missense mutation experiment. PT2385 and So(d18:1) could inhibit normal HIF- 2α transcription ability but not HIF- 2α with missense mutations. (n=6). F, \(Cpt1a\) promoter rHRE constructs plasmid were co- transfected with HIF- 2α\(^{TM}\) followed by control
+
+<--- Page Split --->
+
+solvent or So(d18:1) treatment. So(d18:1) could inhibit HIF- 2α binding ability to rHRE. (n=3).
+
+Data are the means \(\pm\) s.e.m. A, statistical analysis was performed using One- way ANOVA with Tukey's post hoc test. B, E, statistical analysis was performed using Kruskal- Wallis test with Dunn's test. F, statistical analysis was performed using MannWhitney U test.
+
+<--- Page Split --->
+
+
+Figure 7 FG-4592 significantly mitigates CDAA-HFD diet induced NASH CDAA-HFD-fed mice were treated with vehicle or FG-4592 for 8 weeks (n=6 mice/group). A, liver weights. B, ratios of liver mass to body mass. C, serum ALT. D, serum AST. E, representative H&E (up), and Sirius Red (down) staining of liver
+
+<--- Page Split --->
+
+sections. The circles marked the inflammation foci. \(\mathrm{n} = 3\) mice per group, 3 images per mouse. Scale bar is \(100\mu \mathrm{m}\) . F, the percentage of fibrosis area. G- J, Histology scores of hepatic steatosis (G), lobular inflammation (H), ballooning (I), and NAFLD activity (J). K- L, relative mRNA levels of genes related to hepatic inflammation (K) and fibrosis (L).
+
+Data are the means \(\pm\) s.e.m. A- D, F, K- L, statistical analysis was performed using two- tailed Student's t- tests; G- J, \(I I I b\) in K, \(T i m p I\) and Col5a2 in L, statistical analysis was performed using two- tailed Mann- Whitney U- tests.
+
+<--- Page Split --->
+
+## Materials and Methods
+
+## Human participants
+
+The clinical patient cohorts of this study were collected from Peking University People's Hospital. With the approval of the Ethics Committee of Peking University People's Hospital (Ethics Review Approval No.: 2021PHB124- 001), all volunteers who participated in the study signed a written informed consent form.
+
+The inclusion criteria were as follows: NASH disease diagnosis was in accordance with the Guidelines of Prevention and Treatment of Non- Alcoholic Fatty Liver Disease: a 2018 Update prepared by the National Workshop on Fatty Liver and Alcoholic Liver Disease, Chinese Society of Hepatology, Chinese Medical Association; Fatty Liver Experts Committee, Chinese Medical Doctor Association. The diagnosis requires the patient to have histological evidence of diffuse hepatocyte steatosis, intrahepatic inflammation and fibrosis, and persistent serum ALT and GGT increases. Patients with alcoholic liver disease, type 3 hepatitis C virus infection, autoimmune hepatitis, hepatocellular degeneration and drug- induced liver disease were excluded. A FibroScan liver elasticity test was performed to support the diagnosis. All patients were newly diagnosed with NASH and did not receive relevant treatment. Healthy volunteers were also recruited from Peking University People's Hospital. They were required to have normal serum ALT and GGT levels. FibroScan indicated that their liver elasticity was normal. Their age, sex and BMI were matched to those of NASH patients.
+
+## Animals
+
+C57BL/6J wild- type mice were purchased from the Department of Laboratory
+
+<--- Page Split --->
+
+Animal Science, Peking University Health Science Center. \(Hif2\alpha^{\mathrm{fl / fl}}\) , \(Hif2\alpha^{\mathrm{ALysm}}\) , \(Hif2\alpha^{+ / + }\) and LysMHi \(f2\alpha^{\mathrm{LSL / LSL}}\) mice were purchased from Jackson Lab.
+
+Mice were randomly divided into different groups and raised in cages under standard SPF laboratory conditions with free access to water and feed. The temperature was maintained at \(21 - 24^{\circ}\mathrm{C}\) , and the humidity was maintained at \(40 - 70\%\) . The light was on from 08:00 to 20:00. The animal use licence number was SYXK (Beijing) 2011- 0039. All animal experiments complied with the rules for the use of experimental animals, treatment and euthanasia approved by Peking University Health Science Center (permit: LA2020481).
+
+A normal chow diet (NCD) was purchased from Beijing Keaoxieli Feed Co., Ltd., in which fat supplies \(20\%\) of calories for energy. The GAN diet (D09100310) was purchased from Research Diets, USA, in which fat provides \(40\%\) of calories for energy (including palm oil), fructose provides \(20\%\) of calories for energy, and \(2\%\) cholesterol is added. Mice were fed the GAN diet for 24 weeks to create the NASH model. The CDAA- HFD (A06071302) was purchased from Research Diets, USA, in which fat supplies \(60\%\) of calories for energy, and the diet contains \(0.1\%\) methionine and does not contain any added choline. Mice were fed the CDAA- HFD for 8 weeks to create the NASH model.
+
+For the So(d18:1) intraperitoneal injection experiment, 6- week- old male mice were randomly fed the CDAA- HFD for 8 weeks with So(d18:1) (10 mg/kg body weight) injected intraperitoneally every day. For the FG- 4592 intraperitoneal injection experiment, 6- week- old male mice were randomly fed the CDAA- HFD for 8 weeks
+
+<--- Page Split --->
+
+with FG- 4592 (25 mg/kg body weight) injected intraperitoneally every day.
+
+## Cell lines
+
+The HEK293T cell line used in this study was purchased from the National Collection of Authenticated Cell Cultures.
+
+## Primary mouse bone marrow-derived macrophage culture
+
+Bone marrow- derived macrophages were isolated from the bone marrow of C57BL/6J wild- type mice, macrophage- specific knockout HIF- \(2\alpha\) mice (Hif2αALysm) and macrophage- specific overexpressing HIF- \(2\alpha\) mice (LysMHif2αLSL/LLSL).
+
+BMDMs were prepared as previously described[26]. The bone marrow collected from the femur and tibia of mice was inoculated on sterile petri dishes and cultured in RPMI 1640 containing \(10\%\) FBS, 100 units/ml penicillin, \(100\mathrm{mg / ml}\) streptomycin and \(10\mathrm{ng / ml}\) macrophage colony stimulating factor (M- CSF) for 5- 6 days. When activating the NLRP3 inflammasome, BMDMs were incubated with LPS (500 ng/ml, 4 hours) and then were treated with nigericin (6.7 \(\mu \mathrm{M}\) , 1 hour).
+
+## Separation of liver nonparenchymal cells
+
+As mentioned earlier[27], primary hepatic macrophages were isolated from male mice by injecting type IV collagenase into the liver. Mice were anaesthetized with isoflurane and perfused through the portal vein. Krebs buffer was used to remove blood from the liver. Then, Krebs buffer supplemented with type IV collagenase was used for digestion. After digestion, the liver was collected and rinsed with RPMI 1640. The digested liver cell suspension was passed through a 70- \(\mu \mathrm{m}\) cell filter (BD). The samples were centrifuged at \(50 \times \mathrm{g}\) for 3 minutes, and the supernatant was retained. The cells
+
+<--- Page Split --->
+
+were centrifuged at 1200 rpm for 10 minutes again to precipitate the nonparenchymal cells from the supernatant.
+
+## Flow cytometry
+
+Isolated liver nonparenchymal cells were washed in PBS buffer containing \(10\%\) FBS, and red cells were removed. The cells were stained with specific antibodies (7AAD BD, APC/cy7 anti- CD45 BioLegend, PE anti- CD11b BioLegend, APC anti- F4/80 BioLegend) at \(4^{\circ}\mathrm{C}\) for 30 minutes protected from light, washed with cold PBS 3 times, and analysed by flow cytometry using FACS SORP flow cytometry (BD). The data were analysed using FlowJo software (TreeStar).
+
+## Dual-luciferase reporter assay
+
+Cells were seeded into a 48- well plate at a density of \(2 \times 10^{4}\) per well. The luciferase constructs for the HIF response element (HRE) and the oxygen- stable HIF- 2α triple mutant (HIF- 2αTM) plasmid were previously described[20, 28]. To explore the effect of So(d18:1) on the transcriptional regulatory activity of HIF- 2α, HIF- 2αTM plasmid, p2.1 HRE- Luc plasmid and Renilla positive control plasmid mixed with Lipo8000 transfection reagent were added to each well cells.
+
+For the Mammalian Two- Hybrid System, pG5 luciferase vector was cotransfected with pBIND- HIF- 2a and pACT- ARNT into cells using the protocol described in the CheckMateTM Mammalian Two- Hybrid System (Promega)[29].
+
+For the mutant assay, HIF- 2αTM plasmid and mHIF- 2a G324E+S305M plasmid were used. For the Cpt1a rHRE binding assay, the pGL3 basic vector (Promega) was cloned with the presumed rHRE1 region in the Cpt1a promoter upstream of the firefly
+
+<--- Page Split --->
+
+luciferase gene as the reporter plasmid. The reporter plasmid, HIF- 2αTM plasmid or corresponding control empty vector were transfected into HEK293T cells together. The luciferase assay was performed as previously described.
+
+The cells were treated with control vehicle, \(2\mu \mathrm{M}\) HIF- 2α- specific inhibitor PT2385 and \(2\mu \mathrm{M}\) So(d18:1) for \(24\mathrm{h}\) , the supernatant was discarded, and the samples were gently rinsed with PBS buffer. Next, \(100\mu \mathrm{L}\) of PLB lysis solution was added to the cells, and they were incubated at room temperature for 10 minutes. Ten microlitres of the cell lysate was added to a white flat- bottomed 96- well plate, and the following procedure was used in the multifunction microplate reader (Tecan): \(40\mu \mathrm{L}\) of luciferase substrate was added, the fluorescence value was detected, and \(40\mu \mathrm{L}\) of stop liquid was added. Finally, the ratio of the two fluorescence values was calculated.
+
+## Mass spectrometry
+
+Targeted lipidomics was performed according to a previous study with minor modifications[30]. Liver tissue (20 mg) was added to \(80\mu \mathrm{L}\) of water and homogenized for 1 minute. Then, \(400\mu \mathrm{L}\) of chloroform and methanol (v/v, 2:1) was added, and the samples were vortexed for 10 minutes and centrifuged at \(4^{\circ}\mathrm{C}\) and \(12,000\mathrm{rpm}\) for 10 minutes. The lower layer was transferred into a new 1.5- ml tube and dried by a SpeedVac. Subsequently, \(100\mu \mathrm{L}\) of cold methanol and isopropanol (v/v, 4:1) was added, and the tubes were vortexed for 10 minutes and centrifuged at \(4^{\circ}\mathrm{C}\) and \(18,000\mathrm{rpm}\) for 10 minutes. The supernatant was transferred to a vial for MS detection. For plasma (100 \(\mu \mathrm{L}\) ), \(400\mu \mathrm{L}\) of chloroform and methanol (v/v, 2:1) was added, and the remaining processes were the same as for liver tissue. A Waters UPLC BEH C18 column (2.1 mm
+
+<--- Page Split --->
+
+(inner diameter) \(\times 100\mathrm{mm}\) (length), \(1.7\mu \mathrm{m}\) (particle dimension)) was used for separation. The mobile phase consisted of water (containing \(5\mathrm{mM}\) ammonium acetate and \(0.1\%\) formic acid; phase A) and isopropanol:acetonitrile (1:1, v/v, containing \(5\mathrm{mM}\) ammonium acetate and \(0.1\%\) formic acid; phase B) at a flow rate of \(0.4\mathrm{ml / min}\) and a column temperature of \(40^{\circ}\mathrm{C}\) , with an injection volume of \(2\mu \mathrm{L}\) . The UPLC and MS parameters used were chosen according to a previous study[30].
+
+For the quantification of ceramides, S1P and sphingosine, \(25\mu \mathrm{l}\) of plasma or \(20\mathrm{mg}\) of liver tissue was homogenized with \(400\mu \mathrm{l}\) of chloroform and methanol (v/v, 2:1) containing \(5\mu \mathrm{M}\) sphingosine- d7 d18:1 and \(25\mu \mathrm{M}\) ceramide- d7 d18:1/15:0 (Avanti Polar Lipids) as the internal standards. The mixture was oscillated immediately and then centrifuged at \(13,000\mathrm{rpm}\) for \(20\mathrm{min}\) . The lower phase was dried using a SpeedVac. The sediment was dissolved in \(100\mu \mathrm{l}\) of isopropanol and acetonitrile (v/v, 1:1) and analysed using the Waters Acquity UPLC coupled with the AB SCIEX QTRAP 5500 system using a Waters UPLC CSH C18 column ( \(3.5\mu \mathrm{m}\) , \(2.1\times 100\mathrm{mm}\) ). The UPLC and MS parameters used were chosen according to a previous study[31]. The lipid metabolites were quantified using MultiQuant 2.1 (AB SCIEX).
+
+## NAS scoring
+
+The NAS, also known as the NAFLD activity score (NAS), is calculated as the sum of three histological components, that is, steatosis (0- 3), ballooning (0- 2) and lobular inflammation (0- 3). Patients with NAS \(\geq 5\) were considered definite NASH, patients with scores of 3 or 4 were considered borderline NASH, and patients with scores of less than 3 were diagnosed as NAFL.
+
+<--- Page Split --->
+
+## Enzyme-linked immunosorbent assay (ELISA)
+
+The levels of IL- 1β (Abclonal, RK00006) and IL- 18 (Abclonal, RK00104) were measured by ELISA kits according to the manufacturer's instructions. In short, the standard or sample was added to the antibody- coated plate and incubated at \(37^{\circ}\mathrm{C}\) for 120 minutes. Bio- coupled antibody solution, avidin HRP solution and TMB substrate solution were added to the microporous plate in turn. The absorbance at \(450\mathrm{nm}\) was measured within 15 minutes after adding the termination solution.
+
+## Western blot and immunoprecipitation
+
+Whole cell lysates were prepared with RIPA buffer. The cell homogenate was incubated on ice in RIPA buffer for 15- 20 minutes and then centrifuged at 10,000 rpm at \(4^{\circ}\mathrm{C}\) for 10 minutes. The supernatant was transferred into a new tube and mixed with \(5\times\) loading buffer. The mixture was boiled for 10 minutes.
+
+For co- IP, Protein A/G PLUS agarose beads (Santa Cruz) were placed in the cell lysate supernatant. The samples were incubated upside down overnight at \(4^{\circ}\mathrm{C}\) . TBST buffer was used to wash 3 times. Then, \(50\mu \mathrm{l}\) of \(2\times\) loading buffer was added to the beads and boiled for 10 minutes.
+
+Each well containing \(50\mu \mathrm{g}\) of protein lysate was separated by SDS- PAGE, transferred to a nitrocellulose membrane, and immunoblotted at \(4^{\circ}\mathrm{C}\) overnight. The antibodies were anti- caspase- 1 (AdipoGen, AG- 20B- 0042), anti- HIF- 2α (Novus, NB100- 132), anti- ARNT (Santa Cruz, sc- 17811), anti- GAPDH (CST, #5174) and anti- \(\beta\) - Actin (Abclonal, AC038). All primary antibodies were used at a dilution of 1:2000. The HRP- coupled secondary antibodies used were anti- rabbit (Abclonal, AS014) and
+
+<--- Page Split --->
+
+anti- mouse (Abclonal, AS003) secondary antibodies at a dilution of 1:2000, and immunoblotting was carried out using a chemical imaging system (ChemiDoc, BioRad).
+
+## RT-qPCR analysis
+
+RT- qPCR analysisLiver tissues were flash- frozen in liquid nitrogen and stored at - 80 °C. Total RNA from frozen liver tissues was extracted using TRIzol reagent (Invitrogen). cDNA was synthesized from 2 µg of total RNA using 5× All- In- One RT MasterMix (Abm). A list of quantitative PCR (qPCR) primer sequences is provided in Supplementary Table 2. The relative amount of each mRNA was compared to the corresponding gene and normalized, and the results are expressed as fold changes relative to the control group.
+
+## RNA sequencing and analysis
+
+Library preparation and transcriptome sequencing were conducted by GENEWIZ LLC. The Illumina HiSeq platform was used for sequencing. For the data analysis, we first evaluated the quality of the sequence data by fastqc v0.11.9, and the sequence quality was considered to be good for subsequent analysis. Trim- galore v0.6.7 was used for adapter trimming and low- quality reads. Clean read mapping was conducted by Hisat2 v2.2.1, and we used mm10 as the mouse reference genome. After that, gene expression was quantified by featureCounts v2.0.1. All downstream analyses were performed in R v4.2.1. We used the edgeR v3.38.4 R package for differential expression analysis. We set the cut- off of differentially expressed genes as follows: p value of 0.05 and absolute value of fold change of 1.5. Gene Ontology (GO) enrichment analysis and
+
+<--- Page Split --->
+
+transcription factor enrichment analysis were conducted by the clusterProfiler v4.4.4 R package. We used the ARCHS4 transcription factor coexpression database from the Enrich library as the database for transcription factor enrichment analysis. The record GSE228548 has been submitted to GEO database.
+
+## Single-cell RNA sequencing analysis
+
+We downloaded the count matrix of the GSE166504 dataset from the GEO database and analysed it using R. This is a single- cell transcriptome dataset of livers where mice were fed a chow diet, a HFHFD diet for 15 weeks, and a HFHFD diet for 30 weeks. We clustered these cells by mRNA expression level using the Seurat package, and then we annotated these cell clusters using the SingleR package.
+
+## Statistics analysis
+
+This study used GraphPad Prism software v.9.0. and SPSS software v.27.0 for analysis and statistics. The experimental results of this study are presented as the mean \(\pm\) standard error of the mean (SEM). First, the Kolmogorov- Smirnov statistical method was used to detect the normality of all data. If the data conformed to a normal distribution, Student's t test was used to compare two groups, one- way ANOVA was used for three or more groups, and Tukey's post- test was used for statistical analysis. If the data did not conform to a normal distribution, a nonparametric test was used. Mann- Whitney's statistical method was used for analysis between two groups, and the Kruskal- Wallis and Dunn's time tests were used for statistical analysis of three or more groups.
+
+<--- Page Split --->
+
+## Supplementary Files
+
+This is a list of supplementary files associated with this preprint. Click to download.
+
+Supplementary.pdf
+
+<--- Page Split --->
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+<|ref|>title<|/ref|><|det|>[[44, 106, 886, 175]]<|/det|>
+# Sphingosine d18:1 Promotes Nonalcoholic Steatohepatitis by Inhibiting Macrophage HIF-2α
+
+<|ref|>text<|/ref|><|det|>[[44, 195, 184, 214]]<|/det|>
+Changtao Jiang
+
+<|ref|>text<|/ref|><|det|>[[55, 222, 334, 240]]<|/det|>
+jiangchangtao@bjmu.edu.cn
+
+<|ref|>text<|/ref|><|det|>[[44, 267, 870, 310]]<|/det|>
+Department of Physiology and Pathophysiology, School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University https://orcid.org/0000- 0002- 5206- 2372
+
+<|ref|>text<|/ref|><|det|>[[44, 315, 810, 357]]<|/det|>
+Jialin Xia School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+<|ref|>text<|/ref|><|det|>[[44, 362, 810, 404]]<|/det|>
+Hong Chen School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+<|ref|>text<|/ref|><|det|>[[44, 408, 363, 448]]<|/det|>
+Xiaoxiao Wang Peking University People's Hospital
+
+<|ref|>text<|/ref|><|det|>[[44, 454, 810, 496]]<|/det|>
+Weixuan Chen School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+<|ref|>text<|/ref|><|det|>[[44, 501, 810, 542]]<|/det|>
+Jun Lin School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+<|ref|>text<|/ref|><|det|>[[44, 547, 810, 589]]<|/det|>
+Feng Xu School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+<|ref|>text<|/ref|><|det|>[[44, 593, 810, 635]]<|/det|>
+Qixing Nie School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+<|ref|>text<|/ref|><|det|>[[44, 640, 810, 681]]<|/det|>
+Chuan Ye School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+<|ref|>text<|/ref|><|det|>[[44, 686, 810, 727]]<|/det|>
+Bitao Zhong School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+<|ref|>text<|/ref|><|det|>[[44, 732, 810, 774]]<|/det|>
+Min Zhao School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+<|ref|>text<|/ref|><|det|>[[44, 779, 510, 820]]<|/det|>
+Chuyu Yun School of Basic Medical Sciences, Peking University
+
+<|ref|>text<|/ref|><|det|>[[44, 825, 810, 867]]<|/det|>
+Guangyi Zeng School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+<|ref|>text<|/ref|><|det|>[[44, 872, 810, 913]]<|/det|>
+Sen Yan School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+<|ref|>text<|/ref|><|det|>[[44, 918, 810, 959]]<|/det|>
+Xuemei Wang School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[44, 42, 808, 85]]<|/det|>
+Lulu Sun School of Basic Medical Sciences, Center for Reproductive Medicine, Peking University
+
+<|ref|>text<|/ref|><|det|>[[44, 90, 364, 132]]<|/det|>
+Feng Liu Peking University People's Hospital
+
+<|ref|>text<|/ref|><|det|>[[44, 137, 364, 178]]<|/det|>
+Huiying Rao Peking University People's Hospital
+
+<|ref|>text<|/ref|><|det|>[[44, 183, 140, 202]]<|/det|>
+Yanli Pang
+
+<|ref|>text<|/ref|><|det|>[[44, 203, 930, 245]]<|/det|>
+Yanli Pang Center for Reproductive Medicine, Department of Obstetrics and Gynecology, Peking University Third Hospital https://orcid.org/0000- 0003- 1967- 2416
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 287, 103, 305]]<|/det|>
+## Article
+
+<|ref|>text<|/ref|><|det|>[[44, 324, 494, 344]]<|/det|>
+Keywords: NASH, macrophage, HIF- 2α, sphingosine
+
+<|ref|>text<|/ref|><|det|>[[44, 362, 295, 381]]<|/det|>
+Posted Date: July 11th, 2023
+
+<|ref|>text<|/ref|><|det|>[[44, 400, 475, 419]]<|/det|>
+DOI: https://doi.org/10.21203/rs.3.rs- 3092076/v1
+
+<|ref|>text<|/ref|><|det|>[[44, 437, 914, 480]]<|/det|>
+License: © This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+<|ref|>text<|/ref|><|det|>[[44, 499, 535, 518]]<|/det|>
+Additional Declarations: There is NO Competing Interest.
+
+<|ref|>text<|/ref|><|det|>[[44, 554, 907, 597]]<|/det|>
+Version of Record: A version of this preprint was published at Nature Communications on June 4th, 2024. See the published version at https://doi.org/10.1038/s41467- 024- 48954- 2.
+
+<--- Page Split --->
+<|ref|>title<|/ref|><|det|>[[149, 95, 765, 114]]<|/det|>
+# Sphingosine d18:1 Promotes Nonalcoholic Steatohepatitis by Inhibiting
+
+<|ref|>sub_title<|/ref|><|det|>[[150, 132, 330, 150]]<|/det|>
+## Macrophage HIF-2α
+
+<|ref|>text<|/ref|><|det|>[[148, 167, 850, 300]]<|/det|>
+Jialin Xia \(^{1,2,3,7}\) , Hong Chen \(^{1,4,7}\) , Xiaoxiao Wang \(^{6,7}\) , Weixuan Chen \(^{4}\) , Jun Lin \(^{1,2,3}\) , Feng Xu \(^{1,2,3}\) , Qixing Nie \(^{1,2,3}\) , Chuan Ye \(^{1,2,3}\) , Bitao Zhong \(^{1}\) , Min Zhao \(^{4}\) , Chuyu Yun \(^{4}\) , Guangyi Zeng \(^{1,2,3}\) , Sen Yan \(^{4}\) , Xuemei Wang \(^{1,2,3}\) , Lulu Sun \(^{5}\) , Feng Liu \(^{6}\) , Huiying Rao \(^{6,*}\) , Changtao Jiang \(^{1,2,3,*}\) and Yanli Pang \(^{1,4,*}\)
+
+<|ref|>text<|/ref|><|det|>[[149, 355, 826, 410]]<|/det|>
+\(^{1}\) Department of Physiology and Pathophysiology, School of Basic Medical Sciences, Center for Reproductive Medicine, Third Hospital, Peking University, Beijing, China
+
+<|ref|>text<|/ref|><|det|>[[149, 428, 787, 483]]<|/det|>
+\(^{2}\) Center of Basic Medical Research, Institute of Medical Innovation and Research, Peking University Third Hospital, Beijing, China.
+
+<|ref|>text<|/ref|><|det|>[[149, 502, 832, 558]]<|/det|>
+\(^{3}\) Center for Obesity and Metabolic Disease Research, School of Basic Medical Sciences, Peking University, Beijing, China.
+
+<|ref|>text<|/ref|><|det|>[[149, 577, 767, 594]]<|/det|>
+\(^{4}\) State Key Laboratory of Female Fertility Promote, Center for Reproductive Medicine,
+
+<|ref|>text<|/ref|><|det|>[[150, 614, 810, 631]]<|/det|>
+Department of Obstetrics and Gynecology, Peking University Third Hospital, Beijing, China.
+
+<|ref|>text<|/ref|><|det|>[[149, 651, 848, 669]]<|/det|>
+\(^{5}\) Department of Endocrinology and Metabolism, Peking University Third Hospital, Beijing, China.
+
+<|ref|>text<|/ref|><|det|>[[150, 688, 795, 705]]<|/det|>
+\(^{6}\) Peking University People's Hospital, Peking University Hepatology Institute, Beijing Key
+
+<|ref|>text<|/ref|><|det|>[[150, 725, 771, 742]]<|/det|>
+Laboratory of Hepatitis C and Immunotherapy for Liver Diseases, Beijing International
+
+<|ref|>text<|/ref|><|det|>[[150, 762, 755, 779]]<|/det|>
+Cooperation Base for Science and Technology on NAFLD Diagnosis, Beijing, China.
+
+<|ref|>text<|/ref|><|det|>[[150, 799, 392, 815]]<|/det|>
+\(^{7}\) These authors contribute equally.
+
+<|ref|>text<|/ref|><|det|>[[149, 836, 840, 891]]<|/det|>
+\(^{*}\) Correspondence: yanlipang@bjmu.edu.cn (Yanli Pang), jiangchangtao@bjmu.edu.cn (Changtao Jiang), raohuiying@pkupb.edu.cn (Huiying Rao)
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[150, 96, 313, 113]]<|/det|>
+## Conflict of interest
+
+<|ref|>text<|/ref|><|det|>[[150, 133, 699, 150]]<|/det|>
+The authors declare no conflicts of interest that pertain to this work.
+
+<|ref|>sub_title<|/ref|><|det|>[[150, 207, 306, 224]]<|/det|>
+## Financial support
+
+<|ref|>text<|/ref|><|det|>[[148, 242, 831, 373]]<|/det|>
+This work was supported by the National Natural Science Foundation of China (No. 82130022, 31925021, 82022028, 82288102, 91857115, 81921001, and 92149306), and the National Key Research of Development Program of China (no. 2018YFA0800700 and 2022YFA0806400).
+
+<|ref|>sub_title<|/ref|><|det|>[[150, 428, 335, 445]]<|/det|>
+## Author contributions
+
+<|ref|>text<|/ref|><|det|>[[148, 464, 842, 670]]<|/det|>
+Y.P, C.J. and J.X. conceptualized and designed the study. J.X, H.C., X.W., F.X., Q.N., C.Y., B.Z., M.Z., C.Y.Y., G.Z., S.Y. and F.L. performed the experiments and analyzed the data. Y.P., C.J. and H.R supervised the study. J.X. and H.C. wrote the manuscript with input from all authors. J.L., X.M.W. and L.S. revised the manuscript. J.X, H.C. and X.W. contributed equally to this work. All authors edited the manuscript and approved the final manuscript.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[150, 97, 228, 113]]<|/det|>
+## Abstract
+
+<|ref|>text<|/ref|><|det|>[[144, 130, 854, 600]]<|/det|>
+Non- alcoholic steatohepatitis (NASH) is a severe type of the non- alcoholic fatty liver disease (NAFLD). NASH is a growing global health concern due to its increasing morbidity, lack of well- defined biomarkers and lack of clinically effective treatments. Using metabolomic analysis, the most significantly changed active lipid sphingosine d18:1 [So(d18:1)] was selected from NASH patients. So(d18:1) inhibits macrophage HIF- 2α as a direct inhibitor and promotes the activation of NLRP3 inflammasome. Macrophage- specific HIF- 2α knockout and overexpression mice verified the effect of HIF- 2α on NASH progression. Importantly, the HIF- 2α stabilizer FG- 4592 alleviated liver inflammation and fibrosis in NASH, which indicated that macrophage HIF- 2α was a potential drug target for NASH treatment. Overall, this study confirms that So(d18:1) promotes NASH and clarifies that So(d18:1) inhibits the transcriptional activity of HIF- 2α in liver macrophages by suppressing the interaction of HIF- 2α with ARNT, suggesting that macrophage HIF- 2α may be a new target for the treatment of NASH.
+
+<|ref|>sub_title<|/ref|><|det|>[[150, 614, 245, 630]]<|/det|>
+## Key words
+
+<|ref|>text<|/ref|><|det|>[[149, 650, 494, 670]]<|/det|>
+NASH, macrophage, HIF- 2α, sphingosine
+
+<|ref|>sub_title<|/ref|><|det|>[[149, 727, 262, 742]]<|/det|>
+## Introduction
+
+<|ref|>text<|/ref|><|det|>[[147, 761, 852, 891]]<|/det|>
+With lifestyle changes, nonalcoholic fatty liver disease (NAFLD) has become a major chronic disease in contemporary society[1]. NAFLD is a chronic metabolic disease characterized by excessive accumulation of fat in hepatocytes. NAFLD can be divided into simple fatty liver (NAFL) and nonalcoholic steatohepatitis (NASH)[2].
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[145, 94, 852, 260]]<|/det|>
+Chronic liver injury in NASH significantly increases the risk of end- stage liver diseases (such as cirrhosis and liver cancer). However, there is no effective drug for NASH in clinical practice[3]. Therefore, clarifying the key molecular mechanism of the occurrence and development of NASH will help to develop new strategies for anti- NASH treatment.
+
+<|ref|>text<|/ref|><|det|>[[145, 280, 853, 670]]<|/det|>
+The classical theory of NASH pathogenesis is that NASH is caused by the excessive accumulation of lipids in hepatocytes. Then, extreme oxidative stress and inflammation further induce hepatocyte death and the development of inflammation and fibrosis[4]. Sphingolipids are lipids with high biological activity and are one of the main factors affecting the progression of NASH. Sphingolipids mainly include ceramide and sphingosine- 1- phosphate (S1P), and sphingosine is an intermediate product between them[5]. Previous studies have found changes in ceramide and S1P levels in NASH patients[6]. However, they both failed to act as sensitive biomarkers to guide disease diagnosis in NASH because of their widespread variation in many other early- stage NAFLD patients. Sphingosine has not only been found to vary in NAFL[7, 8] but has even been found to be useful as a biomarker to predict cirrhosis[9].
+
+<|ref|>text<|/ref|><|det|>[[146, 688, 852, 892]]<|/det|>
+Here, we found that So(d18:1) increases significantly in patients with NASH by metabolomics profiling analysis. So(d18:1) promotes liver inflammation and fibrosis in the NASH model. RNA- seq data revealed that So(d18:1) inhibits HIF- 2α expression. Macrophage- specific knockout or overexpression of HIF- 2α has been used to clarify the role of macrophage HIF- 2α in NASH development. Mechanistically, So(d18:1) inhibits macrophage HIF- 2α by inhibiting its combination with ARNT and then
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[145, 95, 853, 300]]<|/det|>
+promotes the excessive activation of the macrophage NLRP3 inflammasome, increasing the secretion of inflammatory factors. Notably, we found that the pharmacological activation of macrophage HIF- \(2\alpha\) by FG- 4592, a HIF prolyl hydroxylase inhibitor that is approved for the treatment of anaemia in China, had preventive effects on NASH in mice. This work suggests that macrophage HIF- \(2\alpha\) is a novel target for the treatment of NASH.
+
+<|ref|>sub_title<|/ref|><|det|>[[148, 356, 216, 372]]<|/det|>
+## Results
+
+<|ref|>sub_title<|/ref|><|det|>[[148, 392, 680, 411]]<|/det|>
+## 1. Disturbances in sphingolipid metabolism in NASH patients
+
+<|ref|>text<|/ref|><|det|>[[145, 428, 853, 708]]<|/det|>
+In the Chinese patient population, we employed a metabolomics screen of NASH patients and healthy volunteers (Table S1). The results showed that the changes in the sphingolipid pathway are the most concentrated, significant and dramatic compared to other lipids that are considered to change routinely (Figure 1A). After that we further examined the whole sphingolipidome using targeted metabolomics (Figure 1B). Principal component analysis (PCA) showed a clear separation between the healthy volunteers and NASH patients (Figure 1C). The VIP score indicated a significant increase in the levels of several sphingolipids, especially So(d18:1) (Figure 1D).
+
+<|ref|>text<|/ref|><|det|>[[147, 725, 853, 893]]<|/det|>
+We fed the mice with CDAA- HFD for 8 weeks to establish NASH mice model. Serum So(d18:1) concentrations was assayed in NASH model mice, and the trend of increasing serum So(d18:1) concentrations in mice was exactly the same as the trend of increasing ALT and AST levels (Figure S1H- J). In human cohort, So(d18:1) accumulated largely in serum of NASH patients (Figure S1D) and increased as the
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[145, 95, 853, 300]]<|/det|>
+disease progresses (Figure S1E). Moreover, the concentration of So(d18:1) was positively correlated with serum ALT, AST levels and Fibrosan index (Figure 1E- 1G). These results suggested that So(d18:1) concentrations may be closely related to NASH progression. However, So(d18:1) relative concentration in whole liver tissue didn't show any change between healthy and NASH mice (Figure S1K), that suggests the origin of So(d18:1) may not from hepatocytes.
+
+<|ref|>text<|/ref|><|det|>[[145, 317, 854, 560]]<|/det|>
+In our sphingolipidome results, the upstream and downstream metabolites of sphingosine, ceramide and S1P, were also altered in content. In our previous study, we had found that ceramide was enriched in NASH patients similarly[6]. But ceramides did not increase more with disease progression (Figure S1A). S1p and the other type of sphingosines also failed to show any growth trends during the progression of NASH (Figure S1B- C). These results further demonstrated the unique indicative role of So(d18:1) in the progression of NASH.
+
+<|ref|>text<|/ref|><|det|>[[147, 577, 853, 781]]<|/det|>
+Hepatic steatosis and lobular inflammation are two important features of the NASH. We analysed the relationship between So(d18:1) levels and these two aspects. There was no significant increase in the So(d18:1) level as hepatic steatosis progressed (Figure S1F). However, the So(d18:1) concentration gradually increased with the aggravation of lobular inflammation (Figure S1G), suggesting that the function of So(d18:1) may be related to lobular inflammation.
+
+<|ref|>sub_title<|/ref|><|det|>[[148, 799, 664, 818]]<|/det|>
+## 2. So(d18:1) aggravates inflammation and fibrosis in NASH
+
+<|ref|>text<|/ref|><|det|>[[147, 836, 853, 891]]<|/det|>
+To test whether So(d18:1) is involved in the progression of NASH, CDAA- HFD- fed mice accepted a simultaneous intraperitoneal injection of So(d18:1). There was no
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[144, 95, 854, 636]]<|/det|>
+significant difference in the liver weight or body weight between the two groups of mice (Figure 2A- B and S2A). The levels of ALT and AST in the serum of mice injected with So(d18:1) were significantly higher than those in control mice (Figure 2C- D), which suggests that So(d18:1) exacerbated liver damage in mice. While there were no differences in liver triglyceride (TG), serum TG and serum non- esterified fatty acid (NEFA) levels, there was also no difference in liver and serum cholesterol (CE) levels (Figure S2B- F). For a clearer image of the liver damage in mice, we made pathological sections and performed H&E staining and Sirius red staining. The pathological sections showed that So(d18:1) treatment increased the fibrosis, lobular inflammation and NASs but did not affect the histology score of hepatic steatosis (Figures 2E- 2J). Consistently, the mRNA expression of inflammation genes and fibrosis genes was significantly upregulated in the liver of the So(d18:1) group compared with that of the vehicle group (Figure 2K- L), while the lipid metabolism genes were mostly not different between the two groups (Figure S2G). Collectively, these results suggest that So(d18:1) can exacerbate lobular inflammation and fibrosis in the livers of NASH mice.
+
+<|ref|>sub_title<|/ref|><|det|>[[147, 652, 775, 671]]<|/det|>
+## 3. So(d18:1) inhibits HIF-2α transcription function in liver macrophages
+
+<|ref|>text<|/ref|><|det|>[[144, 688, 854, 891]]<|/det|>
+So(d18:1) can exacerbate lobular inflammation in the liver of NASH, suggesting that it alters the immune status of the liver, so we focused on immune cells for in- depth study. To confirm the changes of various immune cells during the development of NASH, a set of public single- cell RNA- sequencing data from the livers of NASH mice was located and analysed[10]. The results showed an increase of all kinds of immune cells in the livers of NASH mice. However, the largest proportion of these cells were
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[145, 95, 852, 262]]<|/det|>
+macrophages and monocytes. Importantly, they were recruited to the livers much earlier than other immune cells (Figure S3A- B). We therefore wanted to see whether So(d18:1) would also cause changes in macrophage proportion. We administered So(d18:1) intraperitoneally to mice for 1 week, results showed that So(d18:1) increased the proportion of liver macrophages among all immune cells (Figure S3C, 3A- B).
+
+<|ref|>text<|/ref|><|det|>[[145, 280, 853, 670]]<|/det|>
+To search for the mechanisms by which So(d18:1) promotes macrophages activation, we treated mouse bone- marrow derived macrophages (BMDM) with So(d18:1) or control vehicle under inflammatory stimulation and performed RNA sequencing to explore the changed genes pathways. GO:BP pathway enrichment showed that hypoxia- related pathways were changed significantly between the control and So(d18:1) groups (Figure 3C). There are two transcription factors that play a major role in the hypoxia- related signalling pathway, HIF- 1α and HIF- 2α. We further targeted the signalling pathways regulated by these two transcription factors for enrichment analysis. BP pathway enrichment revealed transcriptional changes in the HIF- 2α- regulated signalling pathway (Figure 3D), while HIF- 1α signalling pathway was not changed (Figure S3D).
+
+<|ref|>text<|/ref|><|det|>[[146, 688, 853, 892]]<|/det|>
+To validate the RNA- seq results, we treated mouse BMDMs with So(d18:1). The results showed that the transcription levels of the Hif2α gene were not changed, but its downstream genes Arg1, Vegf, Spint, Depdc7 and Il10 decreased after So(d18:1) treatment (Figure 3E). We also detected Hif1α and its downstream genes and their expression levels were unchanged (Figure S3E). As for the protein levels of HIF- 2α, the results showed that So(d18:1) treatment could significantly inhibit the protein
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[147, 95, 428, 113]]<|/det|>
+expression of HIF- 2α (Figure 3F).
+
+<|ref|>text<|/ref|><|det|>[[147, 131, 852, 450]]<|/det|>
+Intrahepatic macrophages IL- 1β and IL- 18 secretion due to NLRP3 inflammasome activation is an important mechanism that promotes the progression of NASH[11]. Our previous study also found that macrophage HIF- 2α could suppress NLRP3 inflammasome activation by inhibiting CPT1A[12]. Results showed that So(d18:1) administration could increase NLRP3 inflammasome assembly therefore increase Caspase- 1 cleavage, while HIF- 2α overexpression could quell the stimulation caused by So(d18:1) (Figure 3G). IL- 1β and IL- 18 secretion levels also confirmed that So(d18:1) promoted NLRP3 inflammasome activation, but not in HIF- 2α overexpressing macrophages (Figure 3H- I).
+
+<|ref|>text<|/ref|><|det|>[[147, 465, 852, 558]]<|/det|>
+This may be the cellular mechanism by which So(d18:1) activates macrophages to promote hepatic inflammation in NASH. And the above mechanism was regulated by HIF- 2α.
+
+<|ref|>sub_title<|/ref|><|det|>[[147, 577, 852, 631]]<|/det|>
+## 4. Macrophage-specific HIF-2α deletion aggravates inflammation and fibrosis in NASH
+
+<|ref|>text<|/ref|><|det|>[[147, 650, 852, 892]]<|/det|>
+To investigate whether HIF- 2α- mediated activation of the NLRP3 inflammasome can influence NASH disease progression, we fed \(Hif2\alpha^{\mathrm{f/f}}\) and \(Hif2\alpha^{\mathrm{ALysm}}\) mice a GAN diet for 24 weeks to compare the severity of inflammation and fibrosis in the liver. There was no significant difference in body weight between the two groups of mice (Figure S4A). Liver weight and the ratio of liver weight to body weight were significantly increased in \(Hif2\alpha^{\mathrm{ALysm}}\) mice compared with \(Hif2\alpha^{\mathrm{f/f}}\) mice (Figures 4A- B). Moreover, the levels of ALT and AST in the serum of \(Hif2\alpha^{\mathrm{ALysm}}\) mice were
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[147, 95, 853, 336]]<|/det|>
+significantly higher than those in Hif2αfl/fl mice, suggesting that knockdown of Hif2α exacerbates the disease symptoms of NASH (Figure 4C- D). Next, we examined the changes in lipids in the liver tissue and plasma of the two groups of mice. The results revealed that the concentrations of serum TG, CE, and NEFAs and hepatic TG and CE were not significantly different between Hif2αfl/fl mice and Hif2αΔLysm mice (Figure 4C- F). This result suggests that knockdown of macrophage Hif2α does not affect total lipid metabolism or consequently exacerbate lipid accumulation in the liver.
+
+<|ref|>text<|/ref|><|det|>[[147, 355, 853, 818]]<|/det|>
+To further determine the changes in the levels of inflammation and fibrosis within the mouse liver to determine the progression of NASH, pathological sections were made from the livers of the two groups of mice to observe the extent of liver injury in the mice (Figure 4E). The degree of hepatic steatosis was consistent between the two groups of mice (Figure 4G), and there was no significant difference in the ballooning score (Figure 4I). However, mice in the Hif2αΔLysm group had more foci of inflammation in the liver, with a large number of mononuclear macrophages diffusely distributed and a significantly higher inflammation score in the liver lobules than in the Hif2αfl/fl group (Figure 4H). The sections were also stained with Sirius red (Figure 4E), and the fibrosis area was quantified to show that the Hif2αΔLysm group had a significantly greater fibrosis area than that of the Hif2αfl/fl group (Figure 4F). These results demonstrate that macrophage Hif2α knockdown can indeed significantly exacerbate NASH symptoms and promote inflammatory activation and fibrosis formation.
+
+<|ref|>text<|/ref|><|det|>[[147, 836, 851, 891]]<|/det|>
+Consistently, the mRNA expression of inflammation genes and fibrosis genes was significantly upregulated in the livers of Hif2αΔLysm mice compared with that of Hif2αfl/fl
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[145, 95, 854, 224]]<|/det|>
+mice (Figure 4K- L), while the lipid metabolism genes were not different between the two groups (Figure S4G). Collectively, these data showed that genetic disruption of macrophage- specific HIF- \(2\alpha\) accelerated hepatic inflammation and fibrosis but did not affect hepatic steatosis.
+
+<|ref|>sub_title<|/ref|><|det|>[[147, 243, 851, 297]]<|/det|>
+## 5. Macrophage-specific HIF-2α overexpression alleviated inflammation and fibrosis in NASH
+
+<|ref|>text<|/ref|><|det|>[[145, 315, 854, 706]]<|/det|>
+To further verify the role of macrophage HIF- \(2\alpha\) overexpression in NASH, \(Hif2\alpha^{+ / + }\) and LysMHif2αLSL/LSL mice were fed a GAN diet for 24 weeks. There was no significant difference in body weight between the two groups of mice (Figure S5A). The liver weight and the ratio of liver weight to body weight tended to decrease in LysMHif2αLSL/LSL mice compared with \(Hif2\alpha^{+ / + }\) mice (Figures 5A- B). The levels of ALT and AST in the serum were significantly lower in LysMHif2αLSL/LSL mice than in \(Hif2\alpha^{+ / + }\) mice (Figures 5C- 5D), suggesting that \(Hif2\alpha\) overexpression can protect the liver and reduce liver injury. We also measured TG, total CE and NEFA levels in the liver and plasma to investigate whether macrophage- specific \(Hif2\alpha\) overexpression could reduce fat accumulation in the liver, but there were no differences between the two groups in any of these parameters (Figure S5B- F).
+
+<|ref|>text<|/ref|><|det|>[[145, 725, 853, 892]]<|/det|>
+The liver tissues of \(Hif2\alpha^{+ / + }\) and LysMHif2αLSL/LSL mice were also paraffin sectioned and stained with H&E and Sirius red. The H&E staining results showed that there was no significant difference in the steatosis scores between the two groups (Figure 5G). However, the LysMHif2αLSL/LSL group mice had fewer inflammatory foci in the liver, so their hepatic lobular inflammation scores were significantly lower than those of the
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[145, 95, 853, 374]]<|/det|>
+Hif2α+/+ group mice (Figure 5H), their hepatocyte ballooning scores were also significantly lower (Figure 5I), and the final calculated NAS of the LysMHif2αLSL/LSL group mice was significantly lower than that of the Hif2α+/+ group mice (Figure 5J). We next examined Sirius red- stained sections, and it was evident that intrahepatic fibrosis production was reduced in the LysMHif2αLSL/LSL group of mice (Figure 5E- F). The above results suggest that macrophage Hif2α overexpression may inhibit macrophage activation and thus stellate cell activation, reducing fibrogenesis and protecting the liver from damage during NASH.
+
+<|ref|>text<|/ref|><|det|>[[145, 392, 853, 595]]<|/det|>
+Consistently, the mRNA expression of inflammation- related genes and fibrosis- related genes was significantly downregulated in the livers of LysMHif2αLSL/LSL mice compared with Hif2α+/+ mice (Figure 5K- L), while the lipid metabolism- related genes were not different between the two groups (Figure S5G). Collectively, these data showed that macrophage- specific HIF- 2α overexpression ameliorated hepatic inflammation and fibrosis but did not affect hepatic steatosis.
+
+<|ref|>sub_title<|/ref|><|det|>[[148, 614, 652, 632]]<|/det|>
+## 6. So(d18:1) reduces the transcriptional activity of HIF-2α
+
+<|ref|>text<|/ref|><|det|>[[145, 651, 855, 892]]<|/det|>
+In previous results, we have verified that So(d18:1) could promote NLRP3 inflammasome activation in macrophages and identified HIF- 2α as a key transcription factor by which So(d18:1) alters the inflammatory state of macrophages. Therefore, how does the increased So(d18:1) in NASH patients affect HIF- 2α protein function in macrophages? We conducted a more in- depth mechanistic study to address this question. First, to determine whether So(d18:1) could inhibit HIF- 2α transcriptional activity, we constructed a HIF response element (HRE)- based luciferase reporter assay and treated
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[144, 95, 853, 374]]<|/det|>
+the cells with control solvent, So(d18:1) and HIF- 2α- specific inhibitor PT2385 as positive control. Fluorescein detection showed that So(d18:1) could significantly inhibit the transcriptional activity of HIF- 2α (Figure 6A). The transcriptional action of HIF- 2α requires binding to the ARNT subunit. Thus, we utilized a mammalian two- hybrid system that could further verified that So(d18:1) repressed the transcriptional function of HIF- 2α by inhibiting the binding of ARNT (Figure 6B). In addition, coimmunoprecipitation was performed to determine that So(d18:1) directly disrupted the direct binding of HIF- 2α to ARNT (Figure 6C).
+
+<|ref|>text<|/ref|><|det|>[[144, 391, 853, 820]]<|/det|>
+HIF- 2α has a hydrophobic pocket PAS- B domain to bind with ARNT[13]. Structural prediction by docking revealed some potential for So(d18:1) to fill into this hydrophobic pocket (Figure 6D). So, we constructed a HIF- 2α plasmid with two proven missense mutations in the pocket which disabled other molecules to bind with HIF- 2α. Luciferase reporter system was performed, and the results showed that So(d18:1) could normally inhibit the binding of wild- type HIF- 2α to ARNT but not that of mutant HIF- 2α to ARNT (Figure 6E). From these results, we learned that So(d18:1) may fill into the hydrophobic pocket of HIF- 2α and thereby inhibit the binding of HIF- 2α to ARNT, which impedes HIF- 2α entry into the nucleus for transcriptional regulation. HIF- 2α that remains in the cytoplasm is very easily hydrolysed and therefore protein levels are reduced. This finding also explained why So(d18:1) can only change the protein expression level of HIF- 2α but not the mRNA expression level.
+
+<|ref|>text<|/ref|><|det|>[[147, 836, 852, 892]]<|/det|>
+HIF- 2α regulates metabolism reprogramming by binding to the rHRE region on the Cpt1a promoter[12]. We therefore transfected a luciferase reporter gene plasmid
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[144, 95, 853, 450]]<|/det|>
+containing a Cpt1a rHRE region with a HIF- 2α plasmid or empty plasmid into cells, treated with control solvent or So(d18:1) and observed the fluorescence activity ratio. The results showed that in the vehicle group, the fluorescence values of HIF- 2αTM- transfected cells were lower than those with empty plasmid, indicating that overexpression of HIF- 2α inhibited the transcription of Cpt1a rHRE- linked luciferase. In contrast, the overexpression of HIF- 2α in the So(d18:1) group did not affect the transcription of Cpt1a rHRE- linked luciferase, as it was unable to bind to ARNT and localize to the rHRE region in the nucleus, so the fluorescence values of HIF- 2αTM- plasmid- transfected cells were similar to the fluorescence values of the empty plasmid group (Figure 6F).
+
+<|ref|>text<|/ref|><|det|>[[147, 465, 853, 632]]<|/det|>
+The above results suggest that So(d18:1) could inhibits the binding of HIF- 2α to ARNT, thus promoting NLRP3 inflammasome activation and promotes NASH disease progression. These results also suggest to us the possibility that lipids bind directly to transcription factors and regulate their functions, showing us new mechanisms by which lipids influence cellular metabolism.
+
+<|ref|>sub_title<|/ref|><|det|>[[148, 651, 851, 705]]<|/det|>
+## 7. Stabilization of HIF-2α expression in macrophages significantly alleviated inflammation and fibrosis in NASH
+
+<|ref|>text<|/ref|><|det|>[[147, 724, 853, 892]]<|/det|>
+We further investigated the therapeutic effect of the specific HIF- 2α agonist FG- 4592 in treating NASH. SPF mice were given a CDAA- HFD diet for 8 weeks and were administered vehicle or FG- 4592 (25 mg/kg) by intraperitoneal injection. At the end of the treatment, there was no significant difference in body weight between the two groups of mice (Figure S6A), but there was a significant reduction in liver weight
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[144, 95, 855, 486]]<|/det|>
+(Figure 7A), as well as a significant reduction in the calculated liver weight/body weight ratio (Figure 7B). Measurement of the blood levels of ALT and AST showed significant decreases in both transaminase levels suggestive of liver injury (Figure 7C- D). To assess whether FG- 4592 could improve intrahepatic fat accumulation, we also measured intrahepatic TG (Figure S6B) and blood TG levels (Figure S6C), neither of which showed a significant change. Total intrahepatic CE (Figure S6D) and total plasma CE levels (Figure S6E) were also tested, and there was no significant improvement in either of these results. With respect to NEFAs in the blood, there was also no improvement after FG- 4592 injection (Figure S6F). The above results suggest that although FG- 4592 may improve liver injury, it does not improve lipid accumulation in the liver.
+
+<|ref|>text<|/ref|><|det|>[[144, 502, 855, 857]]<|/det|>
+To further observe liver injury in mice, we made paraffin sections of liver tissue from both groups and stained them with H&E and Sirius red. In the H&E- stained sections, we observed that the degree of steatosis in the livers of the two groups of mice was the same, and therefore, there was no difference in the steatosis score (Figure 7G). However, there were significantly fewer foci of inflammation than in the vehicle group, and therefore, the score of the lobular inflammation was lower than that of the vehicle group (Figure 7H). The final calculation of the NASs also showed that FG- 4592 injection reduced the symptoms of NASH in mice (Figure 7J). In Sirius red- stained sections, fibrosis was significantly reduced in the FG- 4592- injected group, and this result could be better visualized by counting the fibrosis area proportion (Figure 7E- F).
+
+<|ref|>text<|/ref|><|det|>[[170, 872, 850, 891]]<|/det|>
+After FG- 4592 injection, inflammation- related genes were significantly
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[147, 95, 852, 223]]<|/det|>
+downregulated in the mouse liver (Figure 7K). Additionally, genes related to fibrosis were significantly reduced (Figure 7L). However, genes related to fatty acid uptake and de novo synthesis were slightly changed, with only the expression level of Fasn being reduced (Figure S6G).
+
+<|ref|>text<|/ref|><|det|>[[148, 242, 851, 298]]<|/det|>
+In conclusion, FG- 4592 injection can reduce liver fibrosis and improve NASH symptoms by reducing intrahepatic inflammation.
+
+<|ref|>sub_title<|/ref|><|det|>[[149, 317, 244, 334]]<|/det|>
+## Discussion
+
+<|ref|>text<|/ref|><|det|>[[147, 353, 853, 744]]<|/det|>
+Chronic liver injury caused by NASH can significantly increase the risk of end- stage liver diseases. However, there is currently no effective drug to treat NASH in the clinic. Here, we found that the abundance of So(d18:1) in patients with NASH was significantly increased through metabolomics analysis. So(d18:1) significantly aggravated hepatic lobular inflammation and fibrosis in the livers of NASH model mice. Mechanistically, So(d18:1) inhibits macrophage HIF- 2α binding with ARNT, thus promoting overactivation of the macrophage NLRP3 inflammasome and increasing the secretion of inflammatory factors. This mechanism reveals that macrophage HIF- 2α may be a new target for the treatment of NASH. Based on this finding, we tried to use the HIF- 2α stabilizer FG- 4592 to improve NASH, and the results showed that FG- 4592 alleviated inflammation and fibrosis in NASH.
+
+<|ref|>text<|/ref|><|det|>[[148, 761, 852, 892]]<|/det|>
+Liver steatosis is an early event of NASH. A large amount of lipid accumulation in hepatocytes leads to excessive oxidative stress in hepatocytes, which further induces hepatocyte death, thereby activating inflammation and fibrosis in hepatic lobules[4]. In NASH patients, we have seen several significant changes in sphingolipids, such as Cer
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[144, 95, 855, 670]]<|/det|>
+(d18:1/16:0), Cer (d18:1/14:0), Cer (d18:1/20:0), Cer (d18:1/22:0), Cer (d18:1/18:0) and Cer (d18:1/18:0). Their abundances significantly increased in the serum of NASH patients. Our previous work found that the excessive accumulation of nicotine in the intestine can promote the secretion of intestinal ceramide by upregulating the phosphorylation level of SMPD3, thus promoting the progression of NAFLD to NASH[6]. In addition, knocking out alkaline ceramidase 3 (Acer3), which is upregulated in NASH, increases liver Cer (d18:1/18:0) in mice fed a Western diet, reduces oxidative stress and reduces the severity of NASH[14]. S1P released from apoptotic hepatocytes damaged by lipids induces the expression of Trem2 in liver macrophages through S1PR, thereby limiting the occurrence and development of chronic inflammation in NAFLD[15]. These studies suggest that sphingolipid metabolism may play an important role in the pathogenesis of NAFLD. However, none of changes in these sphingolipids perfectly fit the trend of NASH disease exacerbation and indicate the severity of NASH. But So(d18:1) closely related to the disease progression of NASH and was completely consistent with the trends of the changes in the ALT and AST levels representing liver injury. Thus, So(d18:1) is a better indicator of the progression of NASH.
+
+<|ref|>text<|/ref|><|det|>[[147, 688, 853, 892]]<|/det|>
+In addition, although sphingosine has not been deeply discussed in previous studies, some studies have found sphingosine in metabolomics[7, 8], and they have even found that So(d18:1) in stool can be used as a biomarker to predict cirrhosis[9]. However, So(d18:1) is usually regarded just as an intermediate product of metabolism between ceramide and S1P, and in- depth mechanistic and functional research is lacking. In this study, we found that So(d18:1) can exist stably in cells at a certain concentration and
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[147, 95, 852, 224]]<|/det|>
+will not be rapidly converted into ceramide or S1P. Our results showed that So(d18:1) can not only promote overactivation of the NLRP3 inflammasome in BMDMs but can also aggravate liver inflammation and fibrosis and promote the progression of NASH in animals.
+
+<|ref|>text<|/ref|><|det|>[[147, 243, 853, 632]]<|/det|>
+Regarding the origin of the increased circulating So(d18:1) in NASH patients, we examined the amount of So(d18:1) in the whole liver tissue of NASH- modelled mice and found that the rise in total So(d18:1) in liver tissue was not significant, so we inferred that the increased circulating So(d18:1) was not produced by the liver. The metabolism of ceramide is also known to occur in the gut and adipose tissue, so we will subsequently examine the levels of So(d18:1) in the gut and adipose tissue of NASH- modelled mice at different time points to further investigate the source of the increased circulating So(d18:1). There are also results showed that increased levels of So(d18:1) in the faeces of NASH- cirrhotic patients, which may serve as one of the biomarkers for predicting NASH- cirrhosis[16]. This also suggests that the role of microbiota in sphingolipid metabolism should not be underestimated.
+
+<|ref|>text<|/ref|><|det|>[[147, 651, 852, 893]]<|/det|>
+HIF is a heterodimer made up of an oxygen- sensitive \(\alpha\) subunit and a constitutively expressed \(\beta\) subunit (ARNT). Under normoxic conditions, HIF- \(\alpha\) is rapidly hydroxylated and degraded by prolyl hydroxylase (PHD). In contrast, under hypoxia, the activity of prolyl hydroxylase was inhibited, and the HIF protein was stable. HIF- \(2\alpha\) accumulates and translocates to the nucleus and combines with ARNT to form an active transcription factor complex[17]. In NASH, HIF- \(1\alpha\) in macrophages induced by palmitic acid damages autophagic flux and increases IL- \(1\beta\) production, aggravating
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[145, 94, 853, 336]]<|/det|>
+liver injury induced by an MCD diet[18]. Digoxin inhibits the transcription of the HIF- 1a pathway by directly binding to pyruvate kinase M2, thus changing the chromatin structure and reducing NASH[19]. However, the role of HIF- 2α in macrophages in the progression of NASH is still unclear. In this article we have validated the role of HIF- 2α in NASH progression using mice with macrophage- specific knockdown or overexpression of HIF- 2α. Identified that HIF- 2α as a potential target for intervention in NASH.
+
+<|ref|>text<|/ref|><|det|>[[145, 355, 853, 896]]<|/det|>
+Rosalistat (FG- 4592) is a mature small- molecule drug that is mainly used to treat chronic kidney disease and anaemia, but its role in metabolic diseases has not yet entered clinical trials. In our previous studies, FG- 4592 injection was used to improve insulin resistance[20]. In this study, FG- 4592 injection significantly reduced the levels of ALT and AST in the livers of mice, suggesting that the degree of liver injury was reduced. In addition, the expression of genes related to inflammation and fibrosis also decreased. The above results showed that FG- 4592 injection can reduce the incidence of NASH. However, many articles have also clarified that the overexpression of HIF- 2α in liver cells plays a worsening role in insulin resistance and fatty liver[21, 22]. Continuous activation of hepatocyte HIF- 2α can damage the transcription of fatty acid \(\beta\) - oxidation- related genes, leading to fat accumulation in the liver[22, 23]. Hepatocyte HIF- 2α stimulated the production of histidine- rich glycoprotein (HRGP) to activate macrophages to polarize to the M1 type, thus causing liver damage. In our study, the administration of FG- 4592 can block the response ability of proinflammatory macrophages, thus playing a protective role. After FG- 4592 reaches the liver, it may
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[145, 94, 853, 410]]<|/det|>
+indeed lead to the accumulation of lipids in the liver, but it also ensures that hepatocytes damaged by lipotoxicity will not cause further macrophage inflammation. Therefore, from the overall animal experimental data, the administration of FG- 4592 still protects the liver from damage in NASH disease. In addition, FG- 4592 can also act on other targets, such as adipose tissue HIF- 2α, and promote the production of erythropoietin[24, 25], which will delay or even improve the disease in many chronic metabolic diseases. Of course, we are also actively seeking ways to improve FG- 4592 drug delivery methods, such as using liposome encapsulation to minimize the side effects induced by FG- 4592 activation of hepatocyte HIF- 2α.
+
+<|ref|>text<|/ref|><|det|>[[145, 428, 853, 818]]<|/det|>
+In summary, our study found that the active sphingolipid So(d18:1) has good indicating ability in patients with NASH and that it can bind to HIF- 2α to promote the activation of the NLRP3 inflammasome in macrophages and aggravate liver inflammation and fibrosis in NASH model mice. Macrophage- specific knockout or overexpression of HIF- 2α showed that macrophage HIF- 2α can reduce liver injury and can reduce intrahepatic inflammation and fibrosis. These results not only provide us with a possibility that So(d18:1), a long- chain lipid, binding transcription factor to regulate cellular immune metabolism, but also suggest that the proinflammatory function of So(d18:1) in NASH cannot be ignored. Finally, we used FG- 4592 to improve inflammation and fibrosis in NASH. This study provides new targets and potential therapeutic strategies for NASH.
+
+<|ref|>sub_title<|/ref|><|det|>[[147, 837, 257, 853]]<|/det|>
+## Conclusions
+
+<|ref|>text<|/ref|><|det|>[[182, 872, 850, 891]]<|/det|>
+Starting from the metabolomics of NASH patients, this study identified So(d18:1),
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[145, 95, 852, 262]]<|/det|>
+which could activate the liver macrophage inflammasome, and found that it could inhibit the binding of the transcription factor HIF- 2α with ARNT. We clarified the role of HIF- 2α in the development of NASH and explored the role of FG- 4592, a stabilizer of HIF- 2α, in combating NASH disease progression. The results suggest that HIF- 2α is a possible new therapeutic target for the treatment of NASH.
+
+<|ref|>sub_title<|/ref|><|det|>[[149, 319, 247, 335]]<|/det|>
+## References
+
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+478 inflammation, and fibrosis. Hepatology. 2011, 54(2): 472- 483[24] Jain I H, Zazzeron L, Goli R, Alexa K, Schatzman- Bone S, Dhillon H, Goldberger O, Peng J, Shalem O, Sanjana N E, Zhang F, Goessling W, Zapol W M, Mootha V K. Hypoxia as a therapy for mitochondrial disease. Science. 2016, 352(6281): 54- 61[25] Zhang X, Zhang Y, Wang P, Zhang S Y, Dong Y, Zeng G, Yan Y, Sun L, Wu Q, Liu H, Liu B, Kong W, Wang X, Jiang C. Adipocyte hypoxia- inducible factor 2α suppresses atherosclerosis by promoting adipose ceramide catabolism. Cell Metab. 2019, 30(5): 937- 951. e935[26] Halle A, Hornung V, Petzold G C, Stewart C R, Monks B G, Reinheckel T, Fitzgerald K A, Latz E, Moore K J, Golenbock D T. The nalp3 inflammasome is involved in the innate immune response to amyloid- beta. Nat Immunol. 2008, 9(8): 857- 865[27] Daemen S, Chan M M, Schilling J D. Comprehensive analysis of liver macrophage composition by flow cytometry and immunofluorescence in murine nash. STAR Protoc. 2021, 2(2): 100511[28] Shah Y M, Matsubara T, Ito S, Yim S H, Gonzalez F J. Intestinal hypoxia- inducible transcription factors are essential for iron absorption following iron deficiency. Cell Metab. 2009, 9(2): 152- 164[29] Das N K, Schwartz A J, Barthel G, Inohara N, Liu Q, Sankar A, Hill D R, Ma X, Lamberg O, Schnizlein M K, Arqués J L, Spence J R, Nunez G, Patterson A D, Sun D, Young V B, Shah Y M. Microbial metabolite signaling is required for systemic iron homeostasis. Cell Metab. 2020, 31(1): 115- 130. e116[30] Zhou J, Liu H, Liu Y, Liu J, Zhao X, Yin Y. Development and evaluation of a parallel reaction monitoring strategy for large- scale targeted metabolomics quantification. Anal Chem. 2016, 88(8): 4478- 4486[31] Wu Q, Sun L, Hu X, Wang X, Xu F, Chen B, Liang X, Xia J, Wang P, Aibara D, Zhang S, Zeng G, Yun C, Yan Y, Zhu Y, Bustin M, Zhang S, Gonzalez F J, Jiang C. Suppressing the intestinal farnesoid x receptor/sphingomyelin phosphodiesterase 3 axis decreases atherosclerosis. J Clin Invest. 2021, 131(9): e142865
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[170, 123, 825, 790]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[150, 97, 210, 113]]<|/det|>
+Figure
+<|ref|>image_caption<|/ref|><|det|>[[150, 794, 850, 912]]<|/det|>
+Figure 1 Metabolomic analysis revealed changes of sphingosine in NASH patients Metabolic analysis of serum samples collected from NASH patients \((n = 20)\) and healthy control \((n = 20)\) . A, clustering heatmap of metabolic pathway. B, targeted metabonomic detection of sphingolipids. C, PLS-DA analysis of sphingolipids in serum of patients.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[148, 83, 854, 235]]<|/det|>
+D, VIP score plot of the difference sphingolipids between the two groups. E- G, correlative analysis of So(d18:1) concentration in serum with ALT (E), AST (F) and Fibroscan index (G). Correlations between variables were assessed by linear regression analysis. Linear correction index R square and P values were calculated. Data are the means \(\pm\) s.e.m. One- way ANOVA with Tukey's post hoc test.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[156, 90, 820, 730]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[148, 737, 540, 757]]<|/det|>
+Figure 2 Sphingosine 18:1 aggravates NASH.
+
+<|ref|>text<|/ref|><|det|>[[148, 774, 850, 905]]<|/det|>
+CDAA- HFD- fed mice were treated with vehicle or sphingosine 18:1 for 8 weeks (n=6 mice/group). A, liver weights. B, ratios of liver mass to body mass. C, serum ALT. D, serum AST. E, representative H&E (up), and Sirius Red (down) staining of liver sections. The circles marked the inflammation foci. n=3 mice per group, 3 images per
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[147, 95, 836, 224]]<|/det|>
+mouse. Scale bar is \(100 \mu \mathrm{m}\) . F, the percentage of fibrosis area. G- J, Histology scores of hepatic steatosis (G), lobular inflammation (H), ballooning (I), and NAFLD activity (J). K- L, relative mRNA levels of genes related to hepatic inflammation (K) and fibrosis (L).
+
+<|ref|>text<|/ref|><|det|>[[148, 243, 844, 336]]<|/det|>
+Data are the means \(\pm\) s.e.m. A- D, F, J- L, statistical analysis was performed using two- tailed Student's t- tests; G- I, \(IIIb\) in J, statistical analysis was performed using two- tailed Mann- Whitney U- tests.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[147, 108, 852, 741]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[150, 85, 835, 103]]<|/det|>
+Figure 3 So(d18:1) inhibits HIF-2α transcription function in liver macrophages.
+
+<|ref|>text<|/ref|><|det|>[[148, 745, 853, 912]]<|/det|>
+A and B, flow cytometry representative chart representative showing that macrophages increased after So(d18:1) treatment. (n=3). C, GO:BP pathway enrichment showing the transcriptional level changes of some immune- related pathways. (n=4). D, \(E_{pas1}\) targets enrichment. E, relative mRNA levels of \(Hif2\alpha\) and its downstream target genes in macrophages treated with vehicle or different concentration of So(d18:1). (n=6). F, assessment of HIF-2α protein level of BMDMs stimulated with vehicle and So(d18:1). (n=3). G, representative immunoblot analysis of pro- caspase-1 and caspase-1 from
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[148, 84, 852, 177]]<|/det|>
+Hif2α+/+ and LysMHif2αLSL/LSL BMDMs that were treated with So(d18:1) or not under NLRP3 inflammasome stimulation. (n=3). H and I, protein level of IL- 1β (H), IL- 18 (I) from Hif2α+/+ and LysMHif2αLSL/LSL BMDMs treated with So(d18:1) or not under NLRP3 inflammasome stimulation. (n=6).
+
+<|ref|>text<|/ref|><|det|>[[148, 189, 852, 262]]<|/det|>
+Data are the means \(\pm\) s.e.m. B, H, I, statistical analysis was performed using two- tailed Student's t- tests; E, statistical analysis was performed using Kruskal- Wallis test with Dunn's test.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[160, 95, 830, 732]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[148, 738, 825, 774]]<|/det|>
+Figure 4 HIF-2α KO in macrophages accelerated inflammation and fibrosis in NASH mice.
+
+<|ref|>text<|/ref|><|det|>[[148, 783, 844, 916]]<|/det|>
+Eight- week- old male \(Hif2\alpha^{\mathrm{fl / fl}}\) and \(Hif2\alpha^{\mathrm{ALysm}}\) mice were administered a GAN diet for 24 weeks (SPF, \(n = 6\) mice/group). A, liver weights. B, ratios of liver mass to body mass. C, serum ALT. D, serum AST. E, representative H&E (up), and Sirius Red (down) staining of liver sections. The circles marked the inflammation foci. \(n = 3\) mice
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[147, 95, 848, 115]]<|/det|>
+per group, 3 images per mouse. Scale bar is \(100 \mu \mathrm{m}\) . F, the percentage of fibrosis area.
+
+<|ref|>text<|/ref|><|det|>[[148, 132, 831, 152]]<|/det|>
+G- J, Histology scores of hepatic steatosis (G), lobular inflammation (H), ballooning
+
+<|ref|>text<|/ref|><|det|>[[148, 170, 822, 190]]<|/det|>
+(I), and NAFLD activity (J). K- L, relative mRNA levels of genes related to hepatic
+
+<|ref|>text<|/ref|><|det|>[[149, 208, 430, 225]]<|/det|>
+inflammation (K) and fibrosis (L).
+
+<|ref|>text<|/ref|><|det|>[[148, 243, 848, 333]]<|/det|>
+Data are the means \(\pm\) s.e.m. A- D, F, K- L, statistical analysis was performed using two- tailed Student's t- tests; G- J, Col2a1 in L, statistical analysis was performed using two- tailed Mann- Whitney U- tests.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[160, 90, 820, 812]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[148, 816, 850, 866]]<|/det|>
+Figure 5 HIF-2α overexpression in macrophages ameliorated inflammation and fibrosis in NASH mice
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[147, 93, 850, 375]]<|/det|>
+Eight- week- old male Hif2α+/+ and LysMHiβ2αLSL/LSL mice were administered a GAN diet for 24 weeks (SPF, n=6 mice/group). A, liver weights. B, ratios of liver mass to body mass. C, serum ALT. D, serum AST. E, representative H&E (up), and Sirius Red (down) staining of liver sections. The circles marked the inflammation foci. n=3 mice per group, 3 images per mouse. Scale bar is 100 μm. F, the percentage of fibrosis area. G- J, Histology scores of hepatic steatosis (G), lobular inflammation (H), ballooning (I), and NAFLD activity (J). K- L, relative mRNA levels of genes related to hepatic inflammation (K) and fibrosis (L).
+
+<|ref|>text<|/ref|><|det|>[[148, 392, 845, 485]]<|/det|>
+Data are the means \(\pm\) s.e.m. A- D, F, J- L, statistical analysis was performed using two- tailed Student's t- tests; G- I, Ccl2 in K, statistical analysis was performed using two- tailed Mann- Whitney U- tests.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[175, 98, 842, 580]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[149, 594, 686, 613]]<|/det|>
+Figure 6 So(d18:1) suppress the binding of HIF-2α and ARNT
+
+<|ref|>text<|/ref|><|det|>[[147, 620, 855, 903]]<|/det|>
+A, PT2385 and So(d18:1) could inhibit HIF- 2α transcription ability. (n=6). B, schematic diagram of mammalian two- hybrid system. PT2385 and So(d18:1) could inhibit HIF- 2α to bind to ARNT. (n=6). C, Co- immunoprecipitation for ARNT and HIF- 2α in HEK293T cells treated with control solvent, So(d18:1) or PT2385, PT2385 and So(d18:1) could inhibit HIF- 2α to bind to ARNT. D, molecule docking prediction of So(d18:1) binding sites in HIF- 2α PAS- B domain. E, schematic diagram of site missense mutation experiment. PT2385 and So(d18:1) could inhibit normal HIF- 2α transcription ability but not HIF- 2α with missense mutations. (n=6). F, \(Cpt1a\) promoter rHRE constructs plasmid were co- transfected with HIF- 2α\(^{TM}\) followed by control
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[148, 84, 850, 137]]<|/det|>
+solvent or So(d18:1) treatment. So(d18:1) could inhibit HIF- 2α binding ability to rHRE. (n=3).
+
+<|ref|>text<|/ref|><|det|>[[148, 150, 852, 268]]<|/det|>
+Data are the means \(\pm\) s.e.m. A, statistical analysis was performed using One- way ANOVA with Tukey's post hoc test. B, E, statistical analysis was performed using Kruskal- Wallis test with Dunn's test. F, statistical analysis was performed using MannWhitney U test.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[156, 88, 844, 760]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[147, 763, 840, 883]]<|/det|>
+Figure 7 FG-4592 significantly mitigates CDAA-HFD diet induced NASH CDAA-HFD-fed mice were treated with vehicle or FG-4592 for 8 weeks (n=6 mice/group). A, liver weights. B, ratios of liver mass to body mass. C, serum ALT. D, serum AST. E, representative H&E (up), and Sirius Red (down) staining of liver
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[147, 94, 844, 263]]<|/det|>
+sections. The circles marked the inflammation foci. \(\mathrm{n} = 3\) mice per group, 3 images per mouse. Scale bar is \(100\mu \mathrm{m}\) . F, the percentage of fibrosis area. G- J, Histology scores of hepatic steatosis (G), lobular inflammation (H), ballooning (I), and NAFLD activity (J). K- L, relative mRNA levels of genes related to hepatic inflammation (K) and fibrosis (L).
+
+<|ref|>text<|/ref|><|det|>[[148, 280, 845, 373]]<|/det|>
+Data are the means \(\pm\) s.e.m. A- D, F, K- L, statistical analysis was performed using two- tailed Student's t- tests; G- J, \(I I I b\) in K, \(T i m p I\) and Col5a2 in L, statistical analysis was performed using two- tailed Mann- Whitney U- tests.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[150, 96, 352, 112]]<|/det|>
+## Materials and Methods
+
+<|ref|>sub_title<|/ref|><|det|>[[150, 133, 327, 150]]<|/det|>
+## Human participants
+
+<|ref|>text<|/ref|><|det|>[[149, 169, 852, 299]]<|/det|>
+The clinical patient cohorts of this study were collected from Peking University People's Hospital. With the approval of the Ethics Committee of Peking University People's Hospital (Ethics Review Approval No.: 2021PHB124- 001), all volunteers who participated in the study signed a written informed consent form.
+
+<|ref|>text<|/ref|><|det|>[[148, 316, 853, 820]]<|/det|>
+The inclusion criteria were as follows: NASH disease diagnosis was in accordance with the Guidelines of Prevention and Treatment of Non- Alcoholic Fatty Liver Disease: a 2018 Update prepared by the National Workshop on Fatty Liver and Alcoholic Liver Disease, Chinese Society of Hepatology, Chinese Medical Association; Fatty Liver Experts Committee, Chinese Medical Doctor Association. The diagnosis requires the patient to have histological evidence of diffuse hepatocyte steatosis, intrahepatic inflammation and fibrosis, and persistent serum ALT and GGT increases. Patients with alcoholic liver disease, type 3 hepatitis C virus infection, autoimmune hepatitis, hepatocellular degeneration and drug- induced liver disease were excluded. A FibroScan liver elasticity test was performed to support the diagnosis. All patients were newly diagnosed with NASH and did not receive relevant treatment. Healthy volunteers were also recruited from Peking University People's Hospital. They were required to have normal serum ALT and GGT levels. FibroScan indicated that their liver elasticity was normal. Their age, sex and BMI were matched to those of NASH patients.
+
+<|ref|>sub_title<|/ref|><|det|>[[150, 838, 225, 854]]<|/det|>
+## Animals
+
+<|ref|>text<|/ref|><|det|>[[183, 873, 850, 892]]<|/det|>
+C57BL/6J wild- type mice were purchased from the Department of Laboratory
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[149, 93, 851, 152]]<|/det|>
+Animal Science, Peking University Health Science Center. \(Hif2\alpha^{\mathrm{fl / fl}}\) , \(Hif2\alpha^{\mathrm{ALysm}}\) , \(Hif2\alpha^{+ / + }\) and LysMHi \(f2\alpha^{\mathrm{LSL / LSL}}\) mice were purchased from Jackson Lab.
+
+<|ref|>text<|/ref|><|det|>[[148, 169, 853, 410]]<|/det|>
+Mice were randomly divided into different groups and raised in cages under standard SPF laboratory conditions with free access to water and feed. The temperature was maintained at \(21 - 24^{\circ}\mathrm{C}\) , and the humidity was maintained at \(40 - 70\%\) . The light was on from 08:00 to 20:00. The animal use licence number was SYXK (Beijing) 2011- 0039. All animal experiments complied with the rules for the use of experimental animals, treatment and euthanasia approved by Peking University Health Science Center (permit: LA2020481).
+
+<|ref|>text<|/ref|><|det|>[[148, 428, 853, 744]]<|/det|>
+A normal chow diet (NCD) was purchased from Beijing Keaoxieli Feed Co., Ltd., in which fat supplies \(20\%\) of calories for energy. The GAN diet (D09100310) was purchased from Research Diets, USA, in which fat provides \(40\%\) of calories for energy (including palm oil), fructose provides \(20\%\) of calories for energy, and \(2\%\) cholesterol is added. Mice were fed the GAN diet for 24 weeks to create the NASH model. The CDAA- HFD (A06071302) was purchased from Research Diets, USA, in which fat supplies \(60\%\) of calories for energy, and the diet contains \(0.1\%\) methionine and does not contain any added choline. Mice were fed the CDAA- HFD for 8 weeks to create the NASH model.
+
+<|ref|>text<|/ref|><|det|>[[148, 761, 853, 891]]<|/det|>
+For the So(d18:1) intraperitoneal injection experiment, 6- week- old male mice were randomly fed the CDAA- HFD for 8 weeks with So(d18:1) (10 mg/kg body weight) injected intraperitoneally every day. For the FG- 4592 intraperitoneal injection experiment, 6- week- old male mice were randomly fed the CDAA- HFD for 8 weeks
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[149, 95, 761, 113]]<|/det|>
+with FG- 4592 (25 mg/kg body weight) injected intraperitoneally every day.
+
+<|ref|>sub_title<|/ref|><|det|>[[150, 133, 232, 149]]<|/det|>
+## Cell lines
+
+<|ref|>text<|/ref|><|det|>[[150, 169, 851, 223]]<|/det|>
+The HEK293T cell line used in this study was purchased from the National Collection of Authenticated Cell Cultures.
+
+<|ref|>sub_title<|/ref|><|det|>[[150, 243, 655, 261]]<|/det|>
+## Primary mouse bone marrow-derived macrophage culture
+
+<|ref|>text<|/ref|><|det|>[[149, 280, 853, 373]]<|/det|>
+Bone marrow- derived macrophages were isolated from the bone marrow of C57BL/6J wild- type mice, macrophage- specific knockout HIF- \(2\alpha\) mice (Hif2αALysm) and macrophage- specific overexpressing HIF- \(2\alpha\) mice (LysMHif2αLSL/LLSL).
+
+<|ref|>text<|/ref|><|det|>[[149, 390, 853, 595]]<|/det|>
+BMDMs were prepared as previously described[26]. The bone marrow collected from the femur and tibia of mice was inoculated on sterile petri dishes and cultured in RPMI 1640 containing \(10\%\) FBS, 100 units/ml penicillin, \(100\mathrm{mg / ml}\) streptomycin and \(10\mathrm{ng / ml}\) macrophage colony stimulating factor (M- CSF) for 5- 6 days. When activating the NLRP3 inflammasome, BMDMs were incubated with LPS (500 ng/ml, 4 hours) and then were treated with nigericin (6.7 \(\mu \mathrm{M}\) , 1 hour).
+
+<|ref|>sub_title<|/ref|><|det|>[[150, 613, 506, 631]]<|/det|>
+## Separation of liver nonparenchymal cells
+
+<|ref|>text<|/ref|><|det|>[[149, 650, 853, 892]]<|/det|>
+As mentioned earlier[27], primary hepatic macrophages were isolated from male mice by injecting type IV collagenase into the liver. Mice were anaesthetized with isoflurane and perfused through the portal vein. Krebs buffer was used to remove blood from the liver. Then, Krebs buffer supplemented with type IV collagenase was used for digestion. After digestion, the liver was collected and rinsed with RPMI 1640. The digested liver cell suspension was passed through a 70- \(\mu \mathrm{m}\) cell filter (BD). The samples were centrifuged at \(50 \times \mathrm{g}\) for 3 minutes, and the supernatant was retained. The cells
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[149, 95, 851, 150]]<|/det|>
+were centrifuged at 1200 rpm for 10 minutes again to precipitate the nonparenchymal cells from the supernatant.
+
+<|ref|>sub_title<|/ref|><|det|>[[150, 171, 287, 188]]<|/det|>
+## Flow cytometry
+
+<|ref|>text<|/ref|><|det|>[[148, 206, 853, 410]]<|/det|>
+Isolated liver nonparenchymal cells were washed in PBS buffer containing \(10\%\) FBS, and red cells were removed. The cells were stained with specific antibodies (7AAD BD, APC/cy7 anti- CD45 BioLegend, PE anti- CD11b BioLegend, APC anti- F4/80 BioLegend) at \(4^{\circ}\mathrm{C}\) for 30 minutes protected from light, washed with cold PBS 3 times, and analysed by flow cytometry using FACS SORP flow cytometry (BD). The data were analysed using FlowJo software (TreeStar).
+
+<|ref|>sub_title<|/ref|><|det|>[[150, 429, 412, 446]]<|/det|>
+## Dual-luciferase reporter assay
+
+<|ref|>text<|/ref|><|det|>[[148, 465, 854, 668]]<|/det|>
+Cells were seeded into a 48- well plate at a density of \(2 \times 10^{4}\) per well. The luciferase constructs for the HIF response element (HRE) and the oxygen- stable HIF- 2α triple mutant (HIF- 2αTM) plasmid were previously described[20, 28]. To explore the effect of So(d18:1) on the transcriptional regulatory activity of HIF- 2α, HIF- 2αTM plasmid, p2.1 HRE- Luc plasmid and Renilla positive control plasmid mixed with Lipo8000 transfection reagent were added to each well cells.
+
+<|ref|>text<|/ref|><|det|>[[149, 688, 853, 780]]<|/det|>
+For the Mammalian Two- Hybrid System, pG5 luciferase vector was cotransfected with pBIND- HIF- 2a and pACT- ARNT into cells using the protocol described in the CheckMateTM Mammalian Two- Hybrid System (Promega)[29].
+
+<|ref|>text<|/ref|><|det|>[[149, 799, 853, 891]]<|/det|>
+For the mutant assay, HIF- 2αTM plasmid and mHIF- 2a G324E+S305M plasmid were used. For the Cpt1a rHRE binding assay, the pGL3 basic vector (Promega) was cloned with the presumed rHRE1 region in the Cpt1a promoter upstream of the firefly
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[149, 95, 852, 188]]<|/det|>
+luciferase gene as the reporter plasmid. The reporter plasmid, HIF- 2αTM plasmid or corresponding control empty vector were transfected into HEK293T cells together. The luciferase assay was performed as previously described.
+
+<|ref|>text<|/ref|><|det|>[[148, 206, 855, 485]]<|/det|>
+The cells were treated with control vehicle, \(2\mu \mathrm{M}\) HIF- 2α- specific inhibitor PT2385 and \(2\mu \mathrm{M}\) So(d18:1) for \(24\mathrm{h}\) , the supernatant was discarded, and the samples were gently rinsed with PBS buffer. Next, \(100\mu \mathrm{L}\) of PLB lysis solution was added to the cells, and they were incubated at room temperature for 10 minutes. Ten microlitres of the cell lysate was added to a white flat- bottomed 96- well plate, and the following procedure was used in the multifunction microplate reader (Tecan): \(40\mu \mathrm{L}\) of luciferase substrate was added, the fluorescence value was detected, and \(40\mu \mathrm{L}\) of stop liquid was added. Finally, the ratio of the two fluorescence values was calculated.
+
+<|ref|>sub_title<|/ref|><|det|>[[150, 504, 316, 521]]<|/det|>
+## Mass spectrometry
+
+<|ref|>text<|/ref|><|det|>[[148, 540, 856, 892]]<|/det|>
+Targeted lipidomics was performed according to a previous study with minor modifications[30]. Liver tissue (20 mg) was added to \(80\mu \mathrm{L}\) of water and homogenized for 1 minute. Then, \(400\mu \mathrm{L}\) of chloroform and methanol (v/v, 2:1) was added, and the samples were vortexed for 10 minutes and centrifuged at \(4^{\circ}\mathrm{C}\) and \(12,000\mathrm{rpm}\) for 10 minutes. The lower layer was transferred into a new 1.5- ml tube and dried by a SpeedVac. Subsequently, \(100\mu \mathrm{L}\) of cold methanol and isopropanol (v/v, 4:1) was added, and the tubes were vortexed for 10 minutes and centrifuged at \(4^{\circ}\mathrm{C}\) and \(18,000\mathrm{rpm}\) for 10 minutes. The supernatant was transferred to a vial for MS detection. For plasma (100 \(\mu \mathrm{L}\) ), \(400\mu \mathrm{L}\) of chloroform and methanol (v/v, 2:1) was added, and the remaining processes were the same as for liver tissue. A Waters UPLC BEH C18 column (2.1 mm
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[148, 94, 854, 299]]<|/det|>
+(inner diameter) \(\times 100\mathrm{mm}\) (length), \(1.7\mu \mathrm{m}\) (particle dimension)) was used for separation. The mobile phase consisted of water (containing \(5\mathrm{mM}\) ammonium acetate and \(0.1\%\) formic acid; phase A) and isopropanol:acetonitrile (1:1, v/v, containing \(5\mathrm{mM}\) ammonium acetate and \(0.1\%\) formic acid; phase B) at a flow rate of \(0.4\mathrm{ml / min}\) and a column temperature of \(40^{\circ}\mathrm{C}\) , with an injection volume of \(2\mu \mathrm{L}\) . The UPLC and MS parameters used were chosen according to a previous study[30].
+
+<|ref|>text<|/ref|><|det|>[[148, 316, 856, 670]]<|/det|>
+For the quantification of ceramides, S1P and sphingosine, \(25\mu \mathrm{l}\) of plasma or \(20\mathrm{mg}\) of liver tissue was homogenized with \(400\mu \mathrm{l}\) of chloroform and methanol (v/v, 2:1) containing \(5\mu \mathrm{M}\) sphingosine- d7 d18:1 and \(25\mu \mathrm{M}\) ceramide- d7 d18:1/15:0 (Avanti Polar Lipids) as the internal standards. The mixture was oscillated immediately and then centrifuged at \(13,000\mathrm{rpm}\) for \(20\mathrm{min}\) . The lower phase was dried using a SpeedVac. The sediment was dissolved in \(100\mu \mathrm{l}\) of isopropanol and acetonitrile (v/v, 1:1) and analysed using the Waters Acquity UPLC coupled with the AB SCIEX QTRAP 5500 system using a Waters UPLC CSH C18 column ( \(3.5\mu \mathrm{m}\) , \(2.1\times 100\mathrm{mm}\) ). The UPLC and MS parameters used were chosen according to a previous study[31]. The lipid metabolites were quantified using MultiQuant 2.1 (AB SCIEX).
+
+<|ref|>sub_title<|/ref|><|det|>[[150, 688, 261, 705]]<|/det|>
+## NAS scoring
+
+<|ref|>text<|/ref|><|det|>[[148, 724, 854, 891]]<|/det|>
+The NAS, also known as the NAFLD activity score (NAS), is calculated as the sum of three histological components, that is, steatosis (0- 3), ballooning (0- 2) and lobular inflammation (0- 3). Patients with NAS \(\geq 5\) were considered definite NASH, patients with scores of 3 or 4 were considered borderline NASH, and patients with scores of less than 3 were diagnosed as NAFL.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[150, 96, 555, 114]]<|/det|>
+## Enzyme-linked immunosorbent assay (ELISA)
+
+<|ref|>text<|/ref|><|det|>[[149, 132, 854, 336]]<|/det|>
+The levels of IL- 1β (Abclonal, RK00006) and IL- 18 (Abclonal, RK00104) were measured by ELISA kits according to the manufacturer's instructions. In short, the standard or sample was added to the antibody- coated plate and incubated at \(37^{\circ}\mathrm{C}\) for 120 minutes. Bio- coupled antibody solution, avidin HRP solution and TMB substrate solution were added to the microporous plate in turn. The absorbance at \(450\mathrm{nm}\) was measured within 15 minutes after adding the termination solution.
+
+<|ref|>sub_title<|/ref|><|det|>[[150, 355, 488, 373]]<|/det|>
+## Western blot and immunoprecipitation
+
+<|ref|>text<|/ref|><|det|>[[149, 391, 853, 522]]<|/det|>
+Whole cell lysates were prepared with RIPA buffer. The cell homogenate was incubated on ice in RIPA buffer for 15- 20 minutes and then centrifuged at 10,000 rpm at \(4^{\circ}\mathrm{C}\) for 10 minutes. The supernatant was transferred into a new tube and mixed with \(5\times\) loading buffer. The mixture was boiled for 10 minutes.
+
+<|ref|>text<|/ref|><|det|>[[149, 540, 853, 669]]<|/det|>
+For co- IP, Protein A/G PLUS agarose beads (Santa Cruz) were placed in the cell lysate supernatant. The samples were incubated upside down overnight at \(4^{\circ}\mathrm{C}\) . TBST buffer was used to wash 3 times. Then, \(50\mu \mathrm{l}\) of \(2\times\) loading buffer was added to the beads and boiled for 10 minutes.
+
+<|ref|>text<|/ref|><|det|>[[149, 687, 853, 892]]<|/det|>
+Each well containing \(50\mu \mathrm{g}\) of protein lysate was separated by SDS- PAGE, transferred to a nitrocellulose membrane, and immunoblotted at \(4^{\circ}\mathrm{C}\) overnight. The antibodies were anti- caspase- 1 (AdipoGen, AG- 20B- 0042), anti- HIF- 2α (Novus, NB100- 132), anti- ARNT (Santa Cruz, sc- 17811), anti- GAPDH (CST, #5174) and anti- \(\beta\) - Actin (Abclonal, AC038). All primary antibodies were used at a dilution of 1:2000. The HRP- coupled secondary antibodies used were anti- rabbit (Abclonal, AS014) and
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[149, 95, 852, 188]]<|/det|>
+anti- mouse (Abclonal, AS003) secondary antibodies at a dilution of 1:2000, and immunoblotting was carried out using a chemical imaging system (ChemiDoc, BioRad).
+
+<|ref|>sub_title<|/ref|><|det|>[[150, 207, 312, 224]]<|/det|>
+## RT-qPCR analysis
+
+<|ref|>text<|/ref|><|det|>[[149, 242, 852, 485]]<|/det|>
+RT- qPCR analysisLiver tissues were flash- frozen in liquid nitrogen and stored at - 80 °C. Total RNA from frozen liver tissues was extracted using TRIzol reagent (Invitrogen). cDNA was synthesized from 2 µg of total RNA using 5× All- In- One RT MasterMix (Abm). A list of quantitative PCR (qPCR) primer sequences is provided in Supplementary Table 2. The relative amount of each mRNA was compared to the corresponding gene and normalized, and the results are expressed as fold changes relative to the control group.
+
+<|ref|>sub_title<|/ref|><|det|>[[150, 504, 407, 521]]<|/det|>
+## RNA sequencing and analysis
+
+<|ref|>text<|/ref|><|det|>[[148, 540, 853, 892]]<|/det|>
+Library preparation and transcriptome sequencing were conducted by GENEWIZ LLC. The Illumina HiSeq platform was used for sequencing. For the data analysis, we first evaluated the quality of the sequence data by fastqc v0.11.9, and the sequence quality was considered to be good for subsequent analysis. Trim- galore v0.6.7 was used for adapter trimming and low- quality reads. Clean read mapping was conducted by Hisat2 v2.2.1, and we used mm10 as the mouse reference genome. After that, gene expression was quantified by featureCounts v2.0.1. All downstream analyses were performed in R v4.2.1. We used the edgeR v3.38.4 R package for differential expression analysis. We set the cut- off of differentially expressed genes as follows: p value of 0.05 and absolute value of fold change of 1.5. Gene Ontology (GO) enrichment analysis and
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[148, 95, 853, 225]]<|/det|>
+transcription factor enrichment analysis were conducted by the clusterProfiler v4.4.4 R package. We used the ARCHS4 transcription factor coexpression database from the Enrich library as the database for transcription factor enrichment analysis. The record GSE228548 has been submitted to GEO database.
+
+<|ref|>sub_title<|/ref|><|det|>[[150, 243, 463, 262]]<|/det|>
+## Single-cell RNA sequencing analysis
+
+<|ref|>text<|/ref|><|det|>[[148, 280, 853, 448]]<|/det|>
+We downloaded the count matrix of the GSE166504 dataset from the GEO database and analysed it using R. This is a single- cell transcriptome dataset of livers where mice were fed a chow diet, a HFHFD diet for 15 weeks, and a HFHFD diet for 30 weeks. We clustered these cells by mRNA expression level using the Seurat package, and then we annotated these cell clusters using the SingleR package.
+
+<|ref|>sub_title<|/ref|><|det|>[[150, 467, 303, 484]]<|/det|>
+## Statistics analysis
+
+<|ref|>text<|/ref|><|det|>[[148, 502, 854, 856]]<|/det|>
+This study used GraphPad Prism software v.9.0. and SPSS software v.27.0 for analysis and statistics. The experimental results of this study are presented as the mean \(\pm\) standard error of the mean (SEM). First, the Kolmogorov- Smirnov statistical method was used to detect the normality of all data. If the data conformed to a normal distribution, Student's t test was used to compare two groups, one- way ANOVA was used for three or more groups, and Tukey's post- test was used for statistical analysis. If the data did not conform to a normal distribution, a nonparametric test was used. Mann- Whitney's statistical method was used for analysis between two groups, and the Kruskal- Wallis and Dunn's time tests were used for statistical analysis of three or more groups.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[44, 42, 312, 70]]<|/det|>
+## Supplementary Files
+
+<|ref|>text<|/ref|><|det|>[[44, 93, 768, 113]]<|/det|>
+This is a list of supplementary files associated with this preprint. Click to download.
+
+<|ref|>text<|/ref|><|det|>[[60, 131, 250, 150]]<|/det|>
+Supplementary.pdf
+
+<--- Page Split --->
diff --git a/preprint/preprint__0276cd78debc9fd8ae17c6f1b0b57a845e4a383f449c6500d240856fe5944c43/images_list.json b/preprint/preprint__0276cd78debc9fd8ae17c6f1b0b57a845e4a383f449c6500d240856fe5944c43/images_list.json
new file mode 100644
index 0000000000000000000000000000000000000000..84cdbd040ae75c9ef90ce074196689fed8ed2147
--- /dev/null
+++ b/preprint/preprint__0276cd78debc9fd8ae17c6f1b0b57a845e4a383f449c6500d240856fe5944c43/images_list.json
@@ -0,0 +1,62 @@
+[
+ {
+ "type": "image",
+ "img_path": "images/Figure_1.jpg",
+ "caption": "FIG. 1 (a) Schematics of proposed metal/ferroelectric photocatalyst. (b) AFM topography of Au particles on \\(\\mathrm{BaTiO_3}\\) single crystal. Scale bar, \\(200 \\mathrm{nm}\\) . (c) LWF of Au/BTO in the dark. Scale bar, \\(200 \\mathrm{nm}\\) . (d) LWF of Au/BTO under \\(355 \\mathrm{nm}\\) UV-light \\((0.5 \\mathrm{mW / cm^2})\\) . Scale bar, \\(200 \\mathrm{nm}\\) . (e) Line 1 (dark) and 2 (UV-light) profile images were taken across two antiparallel ferroelectric domains of BTO. (f) Line 3 (dark) and 4 (UV-light) profile images were taken across two antiparallel ferroelectric domains of Au/BTO.",
+ "footnote": [],
+ "bbox": [
+ [
+ 148,
+ 90,
+ 848,
+ 338
+ ]
+ ],
+ "page_idx": 13
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_2.jpg",
+ "caption": "FIG. 2 (a) LWF and fitting line at the interface of +P Au/BTO in the dark (black) and 355 nm UV-light (red). (b) LWF and fitting line at the interface of -P Au/BTO in the dark (black) and 355 nm UV-light (red). (c) Diagram of charge separation of Au/BTO at +P(left) and -P(right) in dark(black solid line) and light(red dashed line).",
+ "footnote": [],
+ "bbox": [
+ [
+ 213,
+ 90,
+ 792,
+ 463
+ ]
+ ],
+ "page_idx": 14
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_3.jpg",
+ "caption": "FIG. 3 (a-d) Photoreduction on Au at +P BTO. (a) AFM topography of Au/BTO at +P before (left) and after (right) photodeposition. (b) LWF in dark before (left) and after (right) photodeposition. The darker indicates the higher LWF. (c) LWF in light before (left) and after (right) photodeposition. (d) Schematic illustrations of photoreduction of \\(\\mathrm{Cr_2O_3}\\) on Au at +P. (e-h) Photooxidation on Au at -P BTO. (e) AFM topography of Au/BTO at -P before (left) and after (right) photodeposition. (f) LWF in dark before (left) and after (right) photodeposition. The darker indicates the higher LWF. (g) LWF in light before (left) and after (right) photodeposition. (h) Schematic illustrations of photooxidation of \\(\\mathrm{MnO_x}\\) on Au at -P. Scale bar, 200 nm.",
+ "footnote": [],
+ "bbox": [
+ [
+ 153,
+ 90,
+ 850,
+ 389
+ ]
+ ],
+ "page_idx": 15
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_4.jpg",
+ "caption": "FIG. 4 (a) SEM image of Au array on BTO single crystal (upper) and simulated electric field intensity distribution of Au array/BTO (lower). (b) High-resolution XPS profiles of Au array/BTO. (c) Hydrogen evolution reaction of Au array/BTO and BTO. (d) Overall water splitting reactions of Au array/BTO with cocatalysts in pure water.",
+ "footnote": [],
+ "bbox": [
+ [
+ 150,
+ 88,
+ 835,
+ 545
+ ]
+ ],
+ "page_idx": 16
+ }
+]
\ No newline at end of file
diff --git a/preprint/preprint__0276cd78debc9fd8ae17c6f1b0b57a845e4a383f449c6500d240856fe5944c43/preprint__0276cd78debc9fd8ae17c6f1b0b57a845e4a383f449c6500d240856fe5944c43.mmd b/preprint/preprint__0276cd78debc9fd8ae17c6f1b0b57a845e4a383f449c6500d240856fe5944c43/preprint__0276cd78debc9fd8ae17c6f1b0b57a845e4a383f449c6500d240856fe5944c43.mmd
new file mode 100644
index 0000000000000000000000000000000000000000..a7fb7f8323b149ff877f0470699abb20298338a8
--- /dev/null
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@@ -0,0 +1,223 @@
+
+# Novel bipolar charge collecting structure enabling overall water splitting on ferroelectric photocatalysts
+
+Yong Liu Dalian Institute of Chemical Physics Zhuan Wang Institute of Physics, Chinese Academy of Sciences
+
+Jiandong He Dalian Institute of Chemical Physics, Chinese Academy of Sciences
+
+Sheng Ye Dalian Institute of Chemical Physics, CAS
+
+Xiuli Wang Dalian Institute of Chemical Physics https://orcid.org/0000- 0001- 6231- 4521
+
+Dongfeng Li Dalian Institute of Chemical Physics
+
+Heng Yin Dalian Institute of Chemical Physics, Chinese Academy of Sciences
+
+Qianhong Zhu Dalian Institute of Chemical Physics, Chinese Academy of Sciences
+
+Huanwang Jing College of Chemistry and Chemical Engineering, Lanzhou University
+
+Yuxiang Weng Chinese Academy of Sciences
+
+Fengtao Fan Dalian Institute of Chemical Physics
+
+Can Li ( canli@dicp.ac.cn )
+
+Dalian Institute of Chemical Physics, Chinese Academy of Sciences https://orcid.org/0000- 0002- 9301- 7850
+
+Article
+
+Keywords:
+
+Posted Date: January 28th, 2022
+
+<--- Page Split --->
+
+DOI: https://doi.org/10.21203/rs.3.rs- 1275357/v1
+
+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 Nature Communications on July 22nd, 2022. See the published version at https://doi.org/10.1038/s41467- 022- 32002- y.
+
+<--- Page Split --->
+
+# Novel bipolar charge collecting structure enabling overall water splitting on ferroelectric photocatalysts
+
+Yong Liu \(^{1}\) , Zhuan Wang \(^{3}\) , Jiandong He \(^{1}\) , Sheng Ye \(^{1}\) , Xiuli Wang \(^{1}\) , Dongfeng Li \(^{1}\) , Heng Yin \(^{1}\) , Qianhong Zhu \(^{1}\) , Huanwang Jing \(^{2}\) , Yuxiang Weng \(^{3}\) , Fengtao Fan \(^{1*}\) , Can Li \(^{1,2*}\)
+
+Dr. Y. Liu, J. He, Dr. S. Ye, Prof. X. Wang, D. Li, Dr. H. Yin, Q. Hong, Prof. F. Fan, Prof. C. Li
+
+\(^{1}\) State Key Laboratory of Catalysis, Dalian Institute of Chemical Physics, Chinese Academy of Sciences, Dalian National Laboratory for Clean Energy, Dalian 116023, China.
+
+Email: ftfan@dicp.ac.cn, canli@dicp.ac.cn
+
+Prof. H. Jing, Prof. C. Li \(^{2}\) State Key Laboratory of Applied Organic Chemistry, Advanced Catalysis Center, College of Chemistry and Chemical Engineering, Lanzhou University, Lanzhou 730000, China
+
+Dr. Z. Wang, Prof. Y. Weng \(^{3}\) The Laboratory of Soft Matter Physics, Beijing National Laboratory for Condensed Matter Physics, Institute of Physics Chinese Academy of Science, Beijing 100190, China
+
+<--- Page Split --->
+
+## Abstract
+
+Due to the unidirectional charge separation and above- gap photovoltage, ferroelectrics have been considered as excellent photocatalytic candidates for solar fuel production. However, the performance of ferroelectric photocatalysts is often moderate. Few reports demonstrated that these kinds of photocatalyst could achieve overall water splitting. Here we propose a novel approach to fabricate interfacial charge collecting nano- structures on ferroelectric's positive and negative domains, enabling overall water splitting in ferroelectric photocatalysts. We observed efficient accumulations of photogenerated electrons and holes within their thermalization length (about \(50 \mathrm{nm}\) ) around the Au nanoparticles located in the positive and negative domains of \(\mathrm{BaTiO_3}\) single crystal. Photocatalytic overall water splitting was firstly observed on ferroelectric \(\mathrm{BaTiO_3}\) single crystal after assembly oxidation and reduction cocatalysts on the positive and negative charged Au nanoparticles. The idea of fabricating bipolar charge collecting structure on the ferroelectrics to achieve overall water splitting paves the new way for utilizing the energetic photogenerated charges in solar energy conversion.
+
+<--- Page Split --->
+
+## Introduction
+
+Ferroelectrics with switchable spontaneous polarization have shown tantalizing potential in memory storage and integrated microelectronics \(^{1 - 5}\) . Meanwhile, power conversion efficiency exceeds unity, and large photovoltage above the bandgap have been reported in some ferroelectrics \(^{6 - 10}\) . The photoelectric characters of ferroelectrics have drawn much interest in solar fuel production \(^{11 - 14}\) . Compared to the traditional charge separation driving force via drift or diffusion mechanisms in common semiconductor photocatalyst, ferroelectric semiconductors possess charge separation driving force due to spontaneous polarization \(^{15 - 20}\) . The unique characters in asymmetric crystals endows ferroelectric semiconductors the bulk photovoltaic effect (BPVE), favoring efficient photogenerated charge separation within the nonthermalizaion length \(^{21, 22}\) . With these photogenerated charges, the Shockley- Queisser limit for the power conversion efficiency in the ferroelectric devices have been exceeded under one sun illumination (AM 1.5 G) \(^{6}\) . Despite the enormous potential applications, the application of ferroelectrics in photovoltaic devices remains scarce. In particular, ferroelectric semiconductors are not yet reported for photocatalytic overall water splitting. Although they possess both spontaneous ferroelectric polarization induced internal field for massive charge separation and thermodynamically suitable energy band structure for overall water splitting.
+
+The charge separation mechanisms in ferroelectric, known as BPVE, are often explained by two mechanisms: shift and ballistic \(^{23}\) . The shift mechanism originates from a quantum phenomenon in the noncentrosymmetric crystal. It is the result of the coherent evolution of a quantum wave packet and the photoexcitation- induced shift of real space. The ballistic mechanism is related to the photogenerated, nonthermalized charges with asymmetric momentum distribution in the noncentrosymmetric crystal (FIG. 1a). The nonthermalized charges descend to the band bottom via a length \(\mathrm{L}_0\) , also called thermalization length. \(\mathrm{L}_0\) depends on materials and incident photons in tens to hundreds of nanometers. Within \(\mathrm{L}_0\) , all the photogenerated charges contribute to BPVE and yield the highest solar energy conversion efficiency. Hexagonal close- packed
+
+<--- Page Split --->
+
+metallic electrode arrays with accurate distance were predicted to have the highest collection and utilization of photogenerated charges (FIG. S1). Based on this principle, Spanier et al. prepare a device with a single- tip electrode contact and an array with 24 tips. The device generated a current density of \(17 \mathrm{mA cm^{- 2}}\) under the illumination of AM 1.5 G \(^{6}\) . Photogenerated charges are concentrated around every individual tip and then collected via the ITO electrode. However, the fully- covered ITO electrode hinders the transmissivity in the ultraviolet range, where BTO has the most significant absorption coefficient. As a result, the performance of this device is mediocre and performs well below expectations. The utilization of photogenerated charges in ferroelectrics for high- efficiency solar energy conversion remains a longstanding challenge, despite the theoretical basis seeming quite clear. Thus, well- designed micro/nanostructures in ferroelectric- based semiconductors are of substantial importance in solar energy conversion. There left plenty of room for the explore of charge separation mechanisms at micro/nanoscale to achieve photocatalytic overall water splitting.
+
+In this work, we proposed a novel approach to fabricate nano charge collecting structures at metal/ferroelectric interface to enable overall water splitting ability in ferroelectric photocatalysts, Au array patterned \(\mathrm{BaTiO_3}\) single crystal. We find the anomalous concentration of photogenerated electrons and holes in Au particles, located at \(+P\) and - P domains in \(\mathrm{BaTiO_3}\) single crystal, respectively. It is proved that the photogenerated charges are concentrated around Au particle within a hemisphere of radius \(\mathrm{L_0}\) , the thermalization length, about \(50 \mathrm{nm}\) . Due to the energetic photogenerated charges, fabricated Au array/BTO photocatalysts show substantial photocatalytic overall water splitting performance. The measured thermalization length \(\mathrm{L_0}\) is also the key experimental prescription in designing high efficiency ferroelectrics in solar energy conversion at nanoscales.
+
+FIG. 1a shows our approach for high- efficiency solar energy conversion. In detail, Au particles in hexagonal arrays with proper density are fabricated on the surface of the ferroelectric semiconductor substrate. Individual Au particle is an enhanced charge
+
+<--- Page Split --->
+
+collection and utilization point. And then, cocatalysts can be selectively deposited on Au particles under illumination. On the one hand, the concentrated photogenerated charges within thermalization length could promote photocatalytic activity. On the other hand, the photocatalytic reduction and oxidation reactions can be spatially separated on positive and negative polarization ferroelectric domains, respectively. In the case of photocatalytic water splitting, the hydrogen evolution reaction and oxygen evolution reaction can simultaneously occur. Solar energy conversion into chemical energy is feasible via overall water splitting.
+
+Then, a typical model is established to clarify the behavior of photogenerated charges at the interface of metal and ferroelectrics. In detail, a (001)- oriented \(\mathrm{BaTiO_3}\) single crystal is applied as ferroelectric substrate, where Au nanoparticles are dispersed. Au particles are about \(200\mathrm{nm}\) in diameter and about \(50\mathrm{nm}\) in thickness (FIG. 1b, FIG. S1). Kelvin probe force microscopy (KPFM) is then applied to map the surface potential of Au/BTO under dark and light excitation conditions, as shown in FIG. 1c, d. Measured surface potential is the contact potential difference (CPD) between the AFM tip and the sample. And then, the CPD is converted to localized workfunction (LWF) for better understanding (Details in Experiments and Supporting Information). As shown in FIG. 1c and Line 1, the LWF of BTO at - P and +P ferroelectric domain is markedly different. At the +P BTO, BTO has downward surface band bending and the LWF is lower. On the contrary, BTO has upward surface band bending at the - P domain, and the LWF is higher. The polarization- induced surface contrast coincides with previous results24, 25. It is noticeable that the LWF changes at the interface of Au/BTO are more obvious (FIG. 1c and Line 3). At the Au/BTO interface in - P domain, the LWF of BTO is even higher, indicating that a Schottky- like junction with a depleting layer formed at the interface of Au/BTO. Because ferroelectric BTO is known as oxygen vacancies induced n- type semiconductor and Au possess large work function. Similarly, at the +P Au/BTO interface, the LWF of BTO is even lower due to the formation of a quasi- Ohmic contact and an accumulation layer. The LFW of Au/BTO in the dark
+
+<--- Page Split --->
+
+confirms the formation of Schottky- like junction at - P and quasi- Ohmic contact at +P via KPFM, same as previous ferroelectric devices \(^{26 - 28}\) .
+
+The KPFM experiments are performed under \(355\mathrm{nm}\) UV- light excitation ( \(3.49\mathrm{eV}\) , about \(0.5\mathrm{mW / cm}^2\) ) to investigate the photogenerated charge separation. The photon energy is higher than the bandgap of BTO ( \(\mathrm{E_g} = 3.2\mathrm{eV}\) ), which is super- band illumination. The selected photon energy exceeds the bandgap of BTO but away from the surface plasmon resonance (SPR) excitation of Au particles at this size (SPR peak position at about \(790\mathrm{nm}\) ) \(^{29}\) . Thus, plasmon resonance absorption of Au would not affect BTO substrate at \(355\mathrm{nm}\) UV illumination (FIG. S3). As shown in FIG. 1d, under the UV- light excitation, the LWF at the Au/BTO interface is significantly changed. And the WLF of the domain wall shifts about \(0.34\mathrm{eV}\) due to the bulk photovoltage effect (BPVE) of ferroelectric polydomain in the bulk of BTO (FIG. S7). And thus, the LWF at the domain wall between two antiparallel domains is taken as a reference \(^{25}\) . The bar scale in both FIG. 1c and 1d is \(0.42\mathrm{eV}\) .
+
+Then, a detailed analysis of the LWF line profiles taken across the LWF images (FIG. 1c and 1d) is described. Firstly, the energy- band diagram of bare BTO is analyzed. As shown in FIG. 1e, line 1 and line 2 are the LWF line profiles between two antiparallel domains in dark and under UV- light excitation, respectively. The contrast of LWF between the two antiparallel domains decreases from about \(0.12\mathrm{eV}\) to about \(0.1\mathrm{eV}\) . The result confirms that both the ferroelectric polarization induced downward band bending at +P domain and upward band bending at - P domain are reduced due to the photogenerated charges transferring to the surface. It is worth noting that the measured domain contrast is much lower than the ideal value due to the screening charges \(^{24, 30}\) . Afterward, in analogy to bare BTO, the LWF line profiles across Au particles across different BTO domains are analyzed. The LWF values extracted across lines 3 and 4 (FIG. 1f) are displayed in FIG. 1f. Interestingly, under illumination, the LWF difference between the two Au particles is increased from about \(0.18\mathrm{eV}\) to about \(0.28\mathrm{eV}\) . The result indicates that the built- in voltage of Au/BTO interface at either +P or - P domain is further enhanced. In contrast, the built- in voltage at SCRs, such as bared BTO and
+
+<--- Page Split --->
+
+common metal/semiconductor Schottky junction, always decreases under illumination31, 32. The enhanced built- in voltage at the two types of Au/BTO interface proves that the Schottky- like depleting layer at - P domain is further depleted and the quasi- Ohmic- like accumulation layer at +P domain is also further accumulated. The above results provide strong evidences that photogenerated charges are concentrated around Au particles in the SCRs, agreeing with Spanier's speculation6. In the surface SCRs of bare BTO and common semiconductors, the built- in voltage decrease under illumination (FIG. S4, S5, S6) 31- 34. This phenomenon at Au/BTO is quite anomalous, entirely different from common metal/semiconductor junction.
+
+To obtain further information, a detailed quantitative analysis is carried out. As shown in FIG. 2, the LWF at Au/BTO interface is nonlinearly fitted with an exponential decay formula (Details in Supporting Information), giving built- in voltage \(\phi_{bi}\) and SCR width L. At +P Au/BTO, the additional built- in voltage \(\phi_{bi}\) at Au/BTO interface increases from \(32.2\mathrm{mV}\) in the dark to \(78.5\mathrm{mV}\) under UV light excitation. It should be mentioned that the \(\phi_{bi}\) is the additional built- in voltage of BTO, obtained by subtracting the surface potential of bare BTO from that of BTO at Au/BTO (FIG. S2). And thus, measured \(\phi_{bi}\) is smaller than the real built- in voltage at Au/BTO heterojunction. And the additional space charge region (SCR) width decreases from \(90.7\mathrm{nm}\) to \(52.3\mathrm{nm}\) (L0) in UV- light. The photogenerated electrons are concentrated around Au particles with a narrower hemisphere of radius L0(FIG. 2c, left). The thermalization length or the mean free path for a hot photoexcited electron or hole L0= \(\mathrm{g}_{31}\mathrm{e}^{-1}\hbar \omega /(\Phi \xi^{\mathrm{ex}})^{23}\) . For bulk BTO single crystal, \(\mathrm{g}_{31} = 3\times 10^{- 9}\mathrm{cmV}^{- 1}\) , \(\hbar \omega\) is the incident photon energy and \(3.49\mathrm{eV}\) (355 nm) in our experiment, \(\Phi\) is the quantum yield, \(\xi^{\mathrm{ex}}\) is the photoexcitation asymmetry parameter and the max value of \(\xi^{\mathrm{ex}}\) is \(10^{- 2} - 10^{- 3}\) . Because \(\alpha_{\mathrm{BTO}}\approx 5 - 10\mathrm{cm}^{- 1}\) at \(\hbar \omega = 3.06\mathrm{eV}\) , most of the light is absorbed in the crystal. So L0 is 10- 100 nm. Moreover, the excitation asymmetry parameter falls as the photon frequency increases. Previously experiment demonstrated that the L0 is about \(100\mathrm{nm}\) when \(\hbar \omega\) is \(3.06\mathrm{eV}^{6}\) . Based on the above discussion, measured \(50\mathrm{nmL}_{0}\) at \(3.49\mathrm{eV}\) is
+
+<--- Page Split --->
+
+reasonable in this work. Measured \(\mathrm{L_0}\) is an essential prescription in designing ferroelectric photovoltaic devices and photocatalysts.
+
+More remarkable, the electric field intensity at Au/BTO interface increases from about \(3\mathrm{kV / cm}\) to about \(15\mathrm{kV / cm}\) , five times larger (FIG. S8). \(15\mathrm{kV / cm}\) is almost one order of magnitude higher than that of common \(\mathrm{SCRs}^{19, 35 - 39}\) . The analogous phenomenon at - P Au/BTO is shown in FIG. S8b. It is estimated that the steady- state charges density at the interface increases about 2- 3 orders of magnitude under illumination (FIG. S8c).
+
+The concentration of photogenerated charges can be attributed to twofold factors, the enhanced electric field around Au particles and the oxygen vacancies in BTO (FIG. S10). Due to the constructed metal/ferroelectric junctions, an intense field is concentrated about \(150\mathrm{nm}\) away from the margin of Au particles. Under light excitation, impact ionization of oxygen vacancies occurs within the enhanced electric field, as reported in the literature \(^{6, 40}\) . A photon produces the first pair of electron \(\mathrm{e_1}\) and hole \(\mathrm{h_1}\) from the oxygen vacancy. In this situation, \(\mathrm{e_1}\) with high mobility relaxes and produces a second pair of electron \(\mathrm{e_2}\) and hole \(\mathrm{h_2}\) . As a result, photogenerated charges are concentrated at the SCRs beneath BTO within a hemisphere of radius \(\mathrm{L_0}\) about \(50\mathrm{nm}\) around Au.
+
+To further confirm the charge transfer between ferroelectric BTO to Au, in situ photodeposition and KPFM experiments are performed. Two typical photodeposition reactions based on reduction (with photogenerated electrons) and oxidation (with photogenerated holes) reactions are carried out, under \(355\mathrm{nm}\) UV- light excitation:
+
+\[2CrO_4^{2 - } + 5H_2O + 6e^- \rightarrow Cr_2O_3\downarrow +100H^-\] \[Mn^{2 + } + xH_2O + (2x - 2)h^+ \rightarrow MnO_x\downarrow +2xH^+\]
+
+AFM topography in FIG. 3a shows that \(\mathrm{CrO_4^{2 - }}\) is primarily reduced on Au particles to form a solid layer in +P domain, indicating the formation of \(\mathrm{Cr_2O_3}\) layer. The charge density of electrons on Au particles is higher than that of BTO. Thus, the \(\mathrm{CrO_4^{2 - }}\) is primarily reduced to \(\mathrm{Cr_2O_3}\) on Au particles instead of ferroelectric BTO. Furthermore, the KPFM images before and after photodeposition are measured and shown in FIG. 3b
+
+<--- Page Split --->
+
+and 3c. The darker in the LWF images indicates higher LWF. After deposition, the photogenerated electrons remain concentrated around Au particles. The built- in voltage at Au/BTO is further enhanced due to the deposition of \(\mathrm{Cr_2O_3}\) . High- resolution Scanning Electron Microscope (HRSEM) image in FIG. 3d also shows a thin layer of \(\mathrm{Cr_2O_3}\) on the surface of Au particles. In contrast, as shown in FIG. 3e, \(\mathrm{Mn^{2 + }}\) prefers to be oxidized to \(\mathrm{MnO_x}\) on Au particle under UV- light. At the same time, the KPFM images in FIG. 3f and 3g indicate the charge separation at Au/BTO interface remains the same after photodeposition. HRSEM in FIG. 3h shows that \(\mathrm{MnO_x}\) prefers to deposit on Au particle. The above in situ photodeposition experiments validate the proposed model that the photogenerated electrons and holes are separately collected by the Au particles in +P and -P domains of BTO.
+
+Ferroelectric photocatalyst is then designed based on the above experiment phenomenon and measured essential experimental prescription. Except for the thermalization length of BTO, several other factors should also be concerned, such as array density, Au particle size. The work function, metal- ferroelectric interface, and surface plasmon resonance (SPR) of Au particles are pronouncedly size- dependent41, 42. Despite the Au array's density decrease with Au particle size, large Au particles with higher charge capacity, better metal/ ferroelectric interface, and red- shift SPR are preferred. Besides, the electric field around the charged Au particle arrays should also be well considered. Thus, the distance between the margin of two adjacent Au particles should be more than twice \(\mathrm{L_0}\) due to the electrostatic repulsion between them (FIG. S18 and S19). Based on these aspects, appropriately designed ferroelectric photocatalysts are shown in FIG. 4a. Periodic hexagonal close- packed (hcp) Au particles on BTO are prepared with self- assemble polystyrene microsphere template (Details in Supporting Information, FIG. S12- 16). The Au particles are about 200- 230 nm in diameter with 500 nm periodicity. The distance between the margin of two adjacent Au particles is about 250- 300 nm. The electric field simulation indicates that the electric field surrounding Au array is massively enhanced and radially expands, but different from an individual one. The enhanced field around the center Au particle is almost a
+
+<--- Page Split --->
+
+hemisphere and contracted horizontally compared with individual one due to the electrostatic repulsion between the neighbor Au particles. The enhanced field extends about \(80\mathrm{nm}\) from the margin of Au particle. A nonenhanced area is also found between the two Au particles due to the electrostatic repulsion. When the distance between the margin of two adjacent Au particles is \(100\mathrm{nm}\) , i.e., twice of \(\mathrm{L_0}\) , the periodicity decreases to \(300\mathrm{nm}\) . The strong electrostatic repulsion between the neighbor Au particles enables a shrunken and reduced electric field (FIG. S19). The electric field extends less than the \(\mathrm{L_0}\) and cannot conform to the demand of charge collection within \(\mathrm{L_0}\) . Based on the simulation results, we demonstrate that the designed Au array on BTO is rational.
+
+Furthermore, X- ray photoelectron spectroscopy (XPS) is conducted to investigate the interfacial contact between Au array and BTO. As shown in FIG. 4b, several peaks are layered together and can be figured as 4d peaks of \(\mathrm{Ba}^{2 + }\) and 4f peaks of \(\mathrm{Au}^0\) . These peaks can fit certain constraints, such as area ratio and characterized peak location (Details in Supporting Information). Both the \(\mathrm{Au}^0 4\mathrm{f}_{7 / 2}\) and \(\mathrm{Au}^0 4\mathrm{f}_{5 / 2}\) peaks are divided into two peaks. The binding energy (BE) between the two peaks is about \(0.6\mathrm{eV}\) . Because the BE difference between the \(\mathrm{Au}^0\) and \(\mathrm{Au}^{1 + }\) is usually about \(1.5\mathrm{eV}\) . And it is the same with \(\mathrm{Au}^{1 + }\) and \(\mathrm{Au}^{3 + }\) . Thus, the Au element is in the chemical state of \(\mathrm{Au}^0\) but different charge density due to the constructed heterojunction with BTO. In detail, the higher BE of \(\mathrm{Au}^0 4\mathrm{f}\) can be assigned to the Au particle at +P with quasi- Ohmic contact. Analogously, the lower BE of \(\mathrm{Au}^0 4\mathrm{f}\) can be assigned to the Au particle at -P with Schottky contact. Notably, the electrostatic charges on Au particles are the requirement for the enhanced electric field at Au/BTO interface. Both the XPS and KPFM results confirm the well- fabricated metal/ferroelectric heterojunctions and the polydomain ferroelectric structure of BTO crystal. And thus, the reduction and oxidation reactions can be simultaneously achieved and spatially separated on the surface of the BTO crystal.
+
+Hydrogen evolution reaction in FIG. 4c demonstrates that the Au/BTO exhibits significantly higher activity than bare BTO, providing further experimental verification of the collecting and utilizing photogenerated charges at metal/ferroelectric interface.
+
+<--- Page Split --->
+
+After selectively photodeposition (Rh/Cr₂O₃ and CoOOH)⁴³, ⁴⁴, the overall water splitting is achieved in pure water (FIG. 4d). This could be the first case in the literature that ferroelectric structures can split pure water via photocatalysis. Even though perovskite BTO possesses both thermodynamically suitable energy band and massive charge separation driving force for water splitting, the overall water splitting of BTO is still not reported yet. After constructing nanostructures to collect and utilize the photogenerated charges, we successfully demonstrate that the overall water splitting in pure water can be achieved. These results emphasize the significance of utilizing the photogenerated charges in ferroelectrics within the thermalization length.
+
+## Conclusions
+
+In summary, we have shown that the overall photocatalytic water splitting can be achieved in ferroelectric photocatalysts via collecting and utilizing the photogenerated charges within the thermalization length in a prototype of Au/BTO photocatalysis. Using KPFM, we have observed the concentration of photogenerated charges within the thermalization length of BTO at the Au/BTO interface. Measured thermalization length is an essential experimental prescription for fabricating high- efficiency photocatalytic and photovoltaic devices at the nanoscale. With this novel structure design, constructed ferroelectric photocatalysts can perform photocatalytic overall water splitting. The experimental design definitely opens a paradigm of designing the ferroelectric photocatalysts for efficient solar energy conversion.
+
+<--- Page Split --->
+
+
+FIG. 1 (a) Schematics of proposed metal/ferroelectric photocatalyst. (b) AFM topography of Au particles on \(\mathrm{BaTiO_3}\) single crystal. Scale bar, \(200 \mathrm{nm}\) . (c) LWF of Au/BTO in the dark. Scale bar, \(200 \mathrm{nm}\) . (d) LWF of Au/BTO under \(355 \mathrm{nm}\) UV-light \((0.5 \mathrm{mW / cm^2})\) . Scale bar, \(200 \mathrm{nm}\) . (e) Line 1 (dark) and 2 (UV-light) profile images were taken across two antiparallel ferroelectric domains of BTO. (f) Line 3 (dark) and 4 (UV-light) profile images were taken across two antiparallel ferroelectric domains of Au/BTO.
+
+<--- Page Split --->
+
+
+FIG. 2 (a) LWF and fitting line at the interface of +P Au/BTO in the dark (black) and 355 nm UV-light (red). (b) LWF and fitting line at the interface of -P Au/BTO in the dark (black) and 355 nm UV-light (red). (c) Diagram of charge separation of Au/BTO at +P(left) and -P(right) in dark(black solid line) and light(red dashed line).
+
+<--- Page Split --->
+
+
+FIG. 3 (a-d) Photoreduction on Au at +P BTO. (a) AFM topography of Au/BTO at +P before (left) and after (right) photodeposition. (b) LWF in dark before (left) and after (right) photodeposition. The darker indicates the higher LWF. (c) LWF in light before (left) and after (right) photodeposition. (d) Schematic illustrations of photoreduction of \(\mathrm{Cr_2O_3}\) on Au at +P. (e-h) Photooxidation on Au at -P BTO. (e) AFM topography of Au/BTO at -P before (left) and after (right) photodeposition. (f) LWF in dark before (left) and after (right) photodeposition. The darker indicates the higher LWF. (g) LWF in light before (left) and after (right) photodeposition. (h) Schematic illustrations of photooxidation of \(\mathrm{MnO_x}\) on Au at -P. Scale bar, 200 nm.
+
+<--- Page Split --->
+
+
+FIG. 4 (a) SEM image of Au array on BTO single crystal (upper) and simulated electric field intensity distribution of Au array/BTO (lower). (b) High-resolution XPS profiles of Au array/BTO. (c) Hydrogen evolution reaction of Au array/BTO and BTO. (d) Overall water splitting reactions of Au array/BTO with cocatalysts in pure water.
+
+<--- Page Split --->
+
+## Supporting Information
+
+Supporting Information is available from the xxx or from the author.
+
+## Acknowledgments
+
+This work was conducted by the Fundamental Research Center of Artificial Photosynthesis (FReCAP) and financially supported by the National Natural Science Foundation of China (22088102, 22102173), CAS Projects for Young Scientists in Basic Research (YSBR- 004), National Key R&D Program of China (2021YFA1500600) and Dalian Institute of Chemical Physics Innovation Foundation (DICPSZ201801). Fellowship of China Postdoctoral Science Foundation, Grant No. 2020M690041.
+
+## Author contributions
+
+Y.L. performed the experiments and wrote the paper. Z. W. and Y. W. performed the fS- TAS experiments. X. W, D. L, and H. Y. performed the analysis of fs- TAS measurements.S.Y. and J.H. performed the photocatalytic experiments. Q. Z. and H.J. performed the analysis of KPFM measurements. F.F. and C.L. analyzed data and revised the manuscript.
+
+## Competing interests
+
+The authors declare no competing financial interests and no competing non- financial interests.
+
+Received: ((will be filled in by the editorial staff)) Revised: ((will be filled in by the editorial staff)) Published online: ((will be filled in by the editorial staff))
+
+## Reference:
+
+1. Wang S, et al. Two-dimensional ferroelectric channel transistors integrating ultrafast memory and neural computing. Nat Commun 12, 53 (2021).
+2. Chai X, et al. Nonvolatile ferroelectric field-effect transistors. Nat Commun 11, 2811 (2020).
+3. Dawber M, Rabe K, Scott J. Physics of thin-film ferroelectric oxides. Rev Mod Phys 77, 1083 (2005).
+4. A century of ferroelectricity. Nat Mater 19, 129 (2020).
+
+<--- Page Split --->
+
+5. Wang X, et al. Van der Waals engineering of ferroelectric heterostructures for long-retention memory. Nat Commun 12, 1109 (2021).
+6. Spanier JE, et al. Power conversion efficiency exceeding the Shockley–Queisser limit in a ferroelectric insulator. Nat Photon 10, 611 (2016).
+7. Yang SY, et al. Above-bandgap voltages from ferroelectric photovoltaic devices. Nat Nanotech 5, 143 (2010).
+8. Xiao Z, et al. Giant switchable photovoltaic effect in organometal trihalide perovskite devices. Nat Mater 14, 193 (2015).
+9. Alexe M, Hesse D. Tip-enhanced photovoltaic effects in bismuth ferrite. Nat Commun 2, 256 (2011).
+10. Nechache R, et al. Bandgap tuning of multiferroic oxide solar cells. Nat Photon 9, 61 (2014).
+11. Liu G, et al. Selective Chemical Epitaxial Growth of TiO₂ Islands on Ferroelectric PbTiO₃ Crystals to Boost Photocatalytic Activity. Joule 2, 1095 (2018).
+12. Zhen C, Yu JC, Liu G, Cheng HM. Selective deposition of redox co-catalyst(s) to improve the photocatalytic activity of single-domain ferroelectric PbTiO₃ nanoplates. Chem Commun 50, 10416 (2014).
+13. Li S, et al. Epitaxial Bi₂FeCrO₆ Multiferroic Thin Film as a New Visible Light Absorbing Photocathode Material. Small 11, 4018 (2015).
+14. Su R, et al. Silver-modified nanosized ferroelectrics as a novel photocatalyst. Small 11, 202 (2015).
+15. Khaselev O, Turner JA. A Monolithic Photovoltaic-Photoelectrochemical Device for Hydrogen Production via Water Splitting. Science 280, 425 (1998).
+16. Jiang T, Xie T, Yang W, Chen L, Fan H, Wang D. Photoelectrochemical and Photovoltaic Properties of p–n Cu₂O Homojunction Films and Their Photocatalytic Performance. J Phys Chem C 117, 4619 (2013).
+17. Wang X, et al. Photocatalytic overall water splitting promoted by an alpha-beta phase junction on Ga₂O₃. Angew Chem Int Ed 51, 13089 (2012).
+18. Tian G, Fu H, Jing L, Xin B, Pan K. Preparation and characterization of stable biphase TiO₂ photocatalyst with high crystallinity, large surface area, and enhanced photoactivity. J Phys Chem C 112, 3083 (2008).
+19. Chen RT, et al. Charge separation via asymmetric illumination in photocatalytic Cu₂O particles. Nat Energy 3, 655 (2018).
+20. Li L, et al. Sub-10 nm rutile titanium dioxide nanoparticles for efficient visible-light-driven photocatalytic hydrogen production. Nat Commun 6, 5881 (2015).
+21. Fridkin VM. Bulk photovoltaic effect in noncentrosymmetric crystals. Crystallogr Rep 46, 654 (2001).
+22. Fridkin VM. Boltzmann principle violation and bulk photovoltaic effect in a crystal without symmetry center. Ferroelectrics 503, 15 (2016).
+23. Sturman BI, Fridkin VM. Photovoltaic and Photo-refractive Effects in Noncentrosymmetric Materials. CRC Press (1992).
+24. Kalinin SV, Bonnell DA. Local potential and polarization screening on ferroelectric surfaces. Phys Rev B 63, 125411 (2001).
+25. Kalinin SV, Johnson CY, Bonnell DA. Domain polarity and temperature induced
+
+<--- Page Split --->
+
+potential inversion on the BaTiO3(100) surface. J Appl Phys 91, 3816 (2002).26. Wang C, et al. Switchable diode effect and ferroelectric resistive switching in epitaxial BiFeO3 thin films. Appl Phys Lett 98, 192901 (2011).27. Yi HT, Choi T, Choi SG, Oh YS, Cheong SW. Mechanism of the switchable photovoltaic effect in ferroelectric BiFeO3. Adv Mater 23, 3403 (2011).28. Lee D, et al. Polarity control of carrier injection at ferroelectric/metal interfaces for electrically switchable diode and photovoltaic effects. Phys Rev B 84, 125305 (2011).29. Yin H, et al. Plasmonic and sensing properties of vertically oriented hexagonal gold nanoplates. Nanoscale 10, 15058 (2018).30. Gao P, et al. Atomic mechanism of polarization-controlled surface reconstruction in ferroelectric thin films. Nat Commun 7, 11318 (2016).31. Singh Pratiyush A, et al. High responsivity in molecular beam epitaxy grown β- Ga2O3 metal semiconductor metal solar blind deep- UV photodetector. Appl Phys Lett 110, 221107 (2017).32. Lu MY, Lu MP, You SJ, Chen CW, Wang YJ. Quantifying the barrier lowering of ZnO Schottky nanodevices under UV light. Sci Rep 5, 15123 (2015).33. Zhou J, et al. Gigantic enhancement in response and reset time of ZnO UV nanosensor by utilizing Schottky contact and surface functionalization. Appl Phys Lett 94, 191103 (2009).34. Lu M- Y, Lu M- P, Chung Y- A, Chen M- J, Wang ZL, Chen L- J. Intercrossed Sheet- Like Ga- Doped ZnS Nanostructures with Superb Photocatalytic Activity and Photoresponse. J Phys Chem C 113, 12878 (2009).35. Zhu J, Fan FT, Chen RT, An HY, Feng ZC, Li C. Direct Imaging of Highly Anisotropic Photogenerated Charge Separations on Different Facets of a Single BiVO4 Photocatalyst. Angew Chem Int Ed 54, 9111 (2015).36. Gao Y, et al. Directly Probing Charge Separation at Interface of TiO2 Phase Junction. J Phys Chem Lett 8, 1419 (2017).37. Zhu J, et al. Visualizing the Nano Cocalyst Aligned Electric Fields on Single Photocatalyst Particles. Nano Lett 17, 6735 (2017).38. Chen R, Pang S, An H, Dittrich T, Fan F, Li C. Giant defect- induced effects on nanoscale charge separation in semiconductor photocatalysts. Nano Lett 19, 426 (2018).39. Liu Y, et al. Internal- Field- Enhanced Charge Separation in a Single- Domain Ferroelectric PbTiO3 Photocatalyst. Adv Mater 32, 1906513 (2020).40. Werner JH, Brendel R, Queisser HJ. Radiative efficiency limit of terrestrial solar cells with internal carrier multiplication. Appl Phys Lett 67, 1028 (1995).41. Zhang Y, et al. Sensing the charge state of single gold nanoparticles via work function measurements. Nano Lett 15, 51 (2015).42. Hou J, Nonnenmann SS, Qin W, Bonnell DA. A transition in mechanisms of size dependent electrical transport at nanoscale metal- oxide interfaces. Appl Phys Lett 103, 252106 (2013).43. Takata T, et al. Photocatalytic water splitting with a quantum efficiency of almost unity. Nature 581, 411 (2020).
+
+<--- Page Split --->
+
+44. Kibria MG, et al. Tuning the surface Fermi level on p-type gallium nitride nanowires for efficient overall water splitting. Nat Commun 5, 3825 (2014).
+
+<--- Page Split --->
+
+## Supplementary Files
+
+This is a list of supplementary files associated with this preprint. Click to download.
+
+- AuarrayBTOSltxt.pdf
+
+<--- Page Split --->
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@@ -0,0 +1,277 @@
+<|ref|>title<|/ref|><|det|>[[44, 106, 916, 209]]<|/det|>
+# Novel bipolar charge collecting structure enabling overall water splitting on ferroelectric photocatalysts
+
+<|ref|>text<|/ref|><|det|>[[44, 230, 641, 299]]<|/det|>
+Yong Liu Dalian Institute of Chemical Physics Zhuan Wang Institute of Physics, Chinese Academy of Sciences
+
+<|ref|>text<|/ref|><|det|>[[44, 325, 641, 365]]<|/det|>
+Jiandong He Dalian Institute of Chemical Physics, Chinese Academy of Sciences
+
+<|ref|>text<|/ref|><|det|>[[44, 370, 418, 410]]<|/det|>
+Sheng Ye Dalian Institute of Chemical Physics, CAS
+
+<|ref|>text<|/ref|><|det|>[[44, 416, 727, 456]]<|/det|>
+Xiuli Wang Dalian Institute of Chemical Physics https://orcid.org/0000- 0001- 6231- 4521
+
+<|ref|>text<|/ref|><|det|>[[44, 461, 372, 501]]<|/det|>
+Dongfeng Li Dalian Institute of Chemical Physics
+
+<|ref|>text<|/ref|><|det|>[[44, 507, 641, 547]]<|/det|>
+Heng Yin Dalian Institute of Chemical Physics, Chinese Academy of Sciences
+
+<|ref|>text<|/ref|><|det|>[[44, 553, 641, 593]]<|/det|>
+Qianhong Zhu Dalian Institute of Chemical Physics, Chinese Academy of Sciences
+
+<|ref|>text<|/ref|><|det|>[[44, 599, 641, 640]]<|/det|>
+Huanwang Jing College of Chemistry and Chemical Engineering, Lanzhou University
+
+<|ref|>text<|/ref|><|det|>[[44, 645, 320, 685]]<|/det|>
+Yuxiang Weng Chinese Academy of Sciences
+
+<|ref|>text<|/ref|><|det|>[[44, 692, 372, 732]]<|/det|>
+Fengtao Fan Dalian Institute of Chemical Physics
+
+<|ref|>text<|/ref|><|det|>[[44, 737, 305, 757]]<|/det|>
+Can Li ( canli@dicp.ac.cn )
+
+<|ref|>text<|/ref|><|det|>[[44, 760, 951, 801]]<|/det|>
+Dalian Institute of Chemical Physics, Chinese Academy of Sciences https://orcid.org/0000- 0002- 9301- 7850
+
+<|ref|>text<|/ref|><|det|>[[44, 845, 102, 862]]<|/det|>
+Article
+
+<|ref|>text<|/ref|><|det|>[[44, 883, 137, 901]]<|/det|>
+Keywords:
+
+<|ref|>text<|/ref|><|det|>[[44, 920, 330, 939]]<|/det|>
+Posted Date: January 28th, 2022
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[42, 45, 474, 64]]<|/det|>
+DOI: https://doi.org/10.21203/rs.3.rs- 1275357/v1
+
+<|ref|>text<|/ref|><|det|>[[42, 82, 910, 125]]<|/det|>
+License: © This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+<|ref|>text<|/ref|><|det|>[[42, 161, 912, 205]]<|/det|>
+Version of Record: A version of this preprint was published at Nature Communications on July 22nd, 2022. See the published version at https://doi.org/10.1038/s41467- 022- 32002- y.
+
+<--- Page Split --->
+<|ref|>title<|/ref|><|det|>[[147, 92, 848, 152]]<|/det|>
+# Novel bipolar charge collecting structure enabling overall water splitting on ferroelectric photocatalysts
+
+<|ref|>text<|/ref|><|det|>[[147, 193, 850, 231]]<|/det|>
+Yong Liu \(^{1}\) , Zhuan Wang \(^{3}\) , Jiandong He \(^{1}\) , Sheng Ye \(^{1}\) , Xiuli Wang \(^{1}\) , Dongfeng Li \(^{1}\) , Heng Yin \(^{1}\) , Qianhong Zhu \(^{1}\) , Huanwang Jing \(^{2}\) , Yuxiang Weng \(^{3}\) , Fengtao Fan \(^{1*}\) , Can Li \(^{1,2*}\)
+
+<|ref|>text<|/ref|><|det|>[[147, 251, 850, 287]]<|/det|>
+Dr. Y. Liu, J. He, Dr. S. Ye, Prof. X. Wang, D. Li, Dr. H. Yin, Q. Hong, Prof. F. Fan, Prof. C. Li
+
+<|ref|>text<|/ref|><|det|>[[147, 289, 850, 342]]<|/det|>
+\(^{1}\) State Key Laboratory of Catalysis, Dalian Institute of Chemical Physics, Chinese Academy of Sciences, Dalian National Laboratory for Clean Energy, Dalian 116023, China.
+
+<|ref|>text<|/ref|><|det|>[[147, 345, 498, 361]]<|/det|>
+Email: ftfan@dicp.ac.cn, canli@dicp.ac.cn
+
+<|ref|>text<|/ref|><|det|>[[147, 381, 850, 454]]<|/det|>
+Prof. H. Jing, Prof. C. Li \(^{2}\) State Key Laboratory of Applied Organic Chemistry, Advanced Catalysis Center, College of Chemistry and Chemical Engineering, Lanzhou University, Lanzhou 730000, China
+
+<|ref|>text<|/ref|><|det|>[[147, 474, 850, 547]]<|/det|>
+Dr. Z. Wang, Prof. Y. Weng \(^{3}\) The Laboratory of Soft Matter Physics, Beijing National Laboratory for Condensed Matter Physics, Institute of Physics Chinese Academy of Science, Beijing 100190, China
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[149, 94, 252, 114]]<|/det|>
+## Abstract
+
+<|ref|>text<|/ref|><|det|>[[147, 125, 853, 536]]<|/det|>
+Due to the unidirectional charge separation and above- gap photovoltage, ferroelectrics have been considered as excellent photocatalytic candidates for solar fuel production. However, the performance of ferroelectric photocatalysts is often moderate. Few reports demonstrated that these kinds of photocatalyst could achieve overall water splitting. Here we propose a novel approach to fabricate interfacial charge collecting nano- structures on ferroelectric's positive and negative domains, enabling overall water splitting in ferroelectric photocatalysts. We observed efficient accumulations of photogenerated electrons and holes within their thermalization length (about \(50 \mathrm{nm}\) ) around the Au nanoparticles located in the positive and negative domains of \(\mathrm{BaTiO_3}\) single crystal. Photocatalytic overall water splitting was firstly observed on ferroelectric \(\mathrm{BaTiO_3}\) single crystal after assembly oxidation and reduction cocatalysts on the positive and negative charged Au nanoparticles. The idea of fabricating bipolar charge collecting structure on the ferroelectrics to achieve overall water splitting paves the new way for utilizing the energetic photogenerated charges in solar energy conversion.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[148, 91, 260, 107]]<|/det|>
+## Introduction
+
+<|ref|>text<|/ref|><|det|>[[147, 117, 853, 608]]<|/det|>
+Ferroelectrics with switchable spontaneous polarization have shown tantalizing potential in memory storage and integrated microelectronics \(^{1 - 5}\) . Meanwhile, power conversion efficiency exceeds unity, and large photovoltage above the bandgap have been reported in some ferroelectrics \(^{6 - 10}\) . The photoelectric characters of ferroelectrics have drawn much interest in solar fuel production \(^{11 - 14}\) . Compared to the traditional charge separation driving force via drift or diffusion mechanisms in common semiconductor photocatalyst, ferroelectric semiconductors possess charge separation driving force due to spontaneous polarization \(^{15 - 20}\) . The unique characters in asymmetric crystals endows ferroelectric semiconductors the bulk photovoltaic effect (BPVE), favoring efficient photogenerated charge separation within the nonthermalizaion length \(^{21, 22}\) . With these photogenerated charges, the Shockley- Queisser limit for the power conversion efficiency in the ferroelectric devices have been exceeded under one sun illumination (AM 1.5 G) \(^{6}\) . Despite the enormous potential applications, the application of ferroelectrics in photovoltaic devices remains scarce. In particular, ferroelectric semiconductors are not yet reported for photocatalytic overall water splitting. Although they possess both spontaneous ferroelectric polarization induced internal field for massive charge separation and thermodynamically suitable energy band structure for overall water splitting.
+
+<|ref|>text<|/ref|><|det|>[[147, 616, 853, 887]]<|/det|>
+The charge separation mechanisms in ferroelectric, known as BPVE, are often explained by two mechanisms: shift and ballistic \(^{23}\) . The shift mechanism originates from a quantum phenomenon in the noncentrosymmetric crystal. It is the result of the coherent evolution of a quantum wave packet and the photoexcitation- induced shift of real space. The ballistic mechanism is related to the photogenerated, nonthermalized charges with asymmetric momentum distribution in the noncentrosymmetric crystal (FIG. 1a). The nonthermalized charges descend to the band bottom via a length \(\mathrm{L}_0\) , also called thermalization length. \(\mathrm{L}_0\) depends on materials and incident photons in tens to hundreds of nanometers. Within \(\mathrm{L}_0\) , all the photogenerated charges contribute to BPVE and yield the highest solar energy conversion efficiency. Hexagonal close- packed
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[147, 88, 853, 499]]<|/det|>
+metallic electrode arrays with accurate distance were predicted to have the highest collection and utilization of photogenerated charges (FIG. S1). Based on this principle, Spanier et al. prepare a device with a single- tip electrode contact and an array with 24 tips. The device generated a current density of \(17 \mathrm{mA cm^{- 2}}\) under the illumination of AM 1.5 G \(^{6}\) . Photogenerated charges are concentrated around every individual tip and then collected via the ITO electrode. However, the fully- covered ITO electrode hinders the transmissivity in the ultraviolet range, where BTO has the most significant absorption coefficient. As a result, the performance of this device is mediocre and performs well below expectations. The utilization of photogenerated charges in ferroelectrics for high- efficiency solar energy conversion remains a longstanding challenge, despite the theoretical basis seeming quite clear. Thus, well- designed micro/nanostructures in ferroelectric- based semiconductors are of substantial importance in solar energy conversion. There left plenty of room for the explore of charge separation mechanisms at micro/nanoscale to achieve photocatalytic overall water splitting.
+
+<|ref|>text<|/ref|><|det|>[[147, 506, 853, 802]]<|/det|>
+In this work, we proposed a novel approach to fabricate nano charge collecting structures at metal/ferroelectric interface to enable overall water splitting ability in ferroelectric photocatalysts, Au array patterned \(\mathrm{BaTiO_3}\) single crystal. We find the anomalous concentration of photogenerated electrons and holes in Au particles, located at \(+P\) and - P domains in \(\mathrm{BaTiO_3}\) single crystal, respectively. It is proved that the photogenerated charges are concentrated around Au particle within a hemisphere of radius \(\mathrm{L_0}\) , the thermalization length, about \(50 \mathrm{nm}\) . Due to the energetic photogenerated charges, fabricated Au array/BTO photocatalysts show substantial photocatalytic overall water splitting performance. The measured thermalization length \(\mathrm{L_0}\) is also the key experimental prescription in designing high efficiency ferroelectrics in solar energy conversion at nanoscales.
+
+<|ref|>text<|/ref|><|det|>[[148, 811, 850, 886]]<|/det|>
+FIG. 1a shows our approach for high- efficiency solar energy conversion. In detail, Au particles in hexagonal arrays with proper density are fabricated on the surface of the ferroelectric semiconductor substrate. Individual Au particle is an enhanced charge
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[147, 88, 852, 303]]<|/det|>
+collection and utilization point. And then, cocatalysts can be selectively deposited on Au particles under illumination. On the one hand, the concentrated photogenerated charges within thermalization length could promote photocatalytic activity. On the other hand, the photocatalytic reduction and oxidation reactions can be spatially separated on positive and negative polarization ferroelectric domains, respectively. In the case of photocatalytic water splitting, the hydrogen evolution reaction and oxygen evolution reaction can simultaneously occur. Solar energy conversion into chemical energy is feasible via overall water splitting.
+
+<|ref|>text<|/ref|><|det|>[[147, 311, 852, 860]]<|/det|>
+Then, a typical model is established to clarify the behavior of photogenerated charges at the interface of metal and ferroelectrics. In detail, a (001)- oriented \(\mathrm{BaTiO_3}\) single crystal is applied as ferroelectric substrate, where Au nanoparticles are dispersed. Au particles are about \(200\mathrm{nm}\) in diameter and about \(50\mathrm{nm}\) in thickness (FIG. 1b, FIG. S1). Kelvin probe force microscopy (KPFM) is then applied to map the surface potential of Au/BTO under dark and light excitation conditions, as shown in FIG. 1c, d. Measured surface potential is the contact potential difference (CPD) between the AFM tip and the sample. And then, the CPD is converted to localized workfunction (LWF) for better understanding (Details in Experiments and Supporting Information). As shown in FIG. 1c and Line 1, the LWF of BTO at - P and +P ferroelectric domain is markedly different. At the +P BTO, BTO has downward surface band bending and the LWF is lower. On the contrary, BTO has upward surface band bending at the - P domain, and the LWF is higher. The polarization- induced surface contrast coincides with previous results24, 25. It is noticeable that the LWF changes at the interface of Au/BTO are more obvious (FIG. 1c and Line 3). At the Au/BTO interface in - P domain, the LWF of BTO is even higher, indicating that a Schottky- like junction with a depleting layer formed at the interface of Au/BTO. Because ferroelectric BTO is known as oxygen vacancies induced n- type semiconductor and Au possess large work function. Similarly, at the +P Au/BTO interface, the LWF of BTO is even lower due to the formation of a quasi- Ohmic contact and an accumulation layer. The LFW of Au/BTO in the dark
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[148, 89, 850, 135]]<|/det|>
+confirms the formation of Schottky- like junction at - P and quasi- Ohmic contact at +P via KPFM, same as previous ferroelectric devices \(^{26 - 28}\) .
+
+<|ref|>text<|/ref|><|det|>[[147, 145, 855, 469]]<|/det|>
+The KPFM experiments are performed under \(355\mathrm{nm}\) UV- light excitation ( \(3.49\mathrm{eV}\) , about \(0.5\mathrm{mW / cm}^2\) ) to investigate the photogenerated charge separation. The photon energy is higher than the bandgap of BTO ( \(\mathrm{E_g} = 3.2\mathrm{eV}\) ), which is super- band illumination. The selected photon energy exceeds the bandgap of BTO but away from the surface plasmon resonance (SPR) excitation of Au particles at this size (SPR peak position at about \(790\mathrm{nm}\) ) \(^{29}\) . Thus, plasmon resonance absorption of Au would not affect BTO substrate at \(355\mathrm{nm}\) UV illumination (FIG. S3). As shown in FIG. 1d, under the UV- light excitation, the LWF at the Au/BTO interface is significantly changed. And the WLF of the domain wall shifts about \(0.34\mathrm{eV}\) due to the bulk photovoltage effect (BPVE) of ferroelectric polydomain in the bulk of BTO (FIG. S7). And thus, the LWF at the domain wall between two antiparallel domains is taken as a reference \(^{25}\) . The bar scale in both FIG. 1c and 1d is \(0.42\mathrm{eV}\) .
+
+<|ref|>text<|/ref|><|det|>[[147, 479, 853, 887]]<|/det|>
+Then, a detailed analysis of the LWF line profiles taken across the LWF images (FIG. 1c and 1d) is described. Firstly, the energy- band diagram of bare BTO is analyzed. As shown in FIG. 1e, line 1 and line 2 are the LWF line profiles between two antiparallel domains in dark and under UV- light excitation, respectively. The contrast of LWF between the two antiparallel domains decreases from about \(0.12\mathrm{eV}\) to about \(0.1\mathrm{eV}\) . The result confirms that both the ferroelectric polarization induced downward band bending at +P domain and upward band bending at - P domain are reduced due to the photogenerated charges transferring to the surface. It is worth noting that the measured domain contrast is much lower than the ideal value due to the screening charges \(^{24, 30}\) . Afterward, in analogy to bare BTO, the LWF line profiles across Au particles across different BTO domains are analyzed. The LWF values extracted across lines 3 and 4 (FIG. 1f) are displayed in FIG. 1f. Interestingly, under illumination, the LWF difference between the two Au particles is increased from about \(0.18\mathrm{eV}\) to about \(0.28\mathrm{eV}\) . The result indicates that the built- in voltage of Au/BTO interface at either +P or - P domain is further enhanced. In contrast, the built- in voltage at SCRs, such as bared BTO and
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[147, 88, 852, 330]]<|/det|>
+common metal/semiconductor Schottky junction, always decreases under illumination31, 32. The enhanced built- in voltage at the two types of Au/BTO interface proves that the Schottky- like depleting layer at - P domain is further depleted and the quasi- Ohmic- like accumulation layer at +P domain is also further accumulated. The above results provide strong evidences that photogenerated charges are concentrated around Au particles in the SCRs, agreeing with Spanier's speculation6. In the surface SCRs of bare BTO and common semiconductors, the built- in voltage decrease under illumination (FIG. S4, S5, S6) 31- 34. This phenomenon at Au/BTO is quite anomalous, entirely different from common metal/semiconductor junction.
+
+<|ref|>text<|/ref|><|det|>[[147, 338, 852, 860]]<|/det|>
+To obtain further information, a detailed quantitative analysis is carried out. As shown in FIG. 2, the LWF at Au/BTO interface is nonlinearly fitted with an exponential decay formula (Details in Supporting Information), giving built- in voltage \(\phi_{bi}\) and SCR width L. At +P Au/BTO, the additional built- in voltage \(\phi_{bi}\) at Au/BTO interface increases from \(32.2\mathrm{mV}\) in the dark to \(78.5\mathrm{mV}\) under UV light excitation. It should be mentioned that the \(\phi_{bi}\) is the additional built- in voltage of BTO, obtained by subtracting the surface potential of bare BTO from that of BTO at Au/BTO (FIG. S2). And thus, measured \(\phi_{bi}\) is smaller than the real built- in voltage at Au/BTO heterojunction. And the additional space charge region (SCR) width decreases from \(90.7\mathrm{nm}\) to \(52.3\mathrm{nm}\) (L0) in UV- light. The photogenerated electrons are concentrated around Au particles with a narrower hemisphere of radius L0(FIG. 2c, left). The thermalization length or the mean free path for a hot photoexcited electron or hole L0= \(\mathrm{g}_{31}\mathrm{e}^{-1}\hbar \omega /(\Phi \xi^{\mathrm{ex}})^{23}\) . For bulk BTO single crystal, \(\mathrm{g}_{31} = 3\times 10^{- 9}\mathrm{cmV}^{- 1}\) , \(\hbar \omega\) is the incident photon energy and \(3.49\mathrm{eV}\) (355 nm) in our experiment, \(\Phi\) is the quantum yield, \(\xi^{\mathrm{ex}}\) is the photoexcitation asymmetry parameter and the max value of \(\xi^{\mathrm{ex}}\) is \(10^{- 2} - 10^{- 3}\) . Because \(\alpha_{\mathrm{BTO}}\approx 5 - 10\mathrm{cm}^{- 1}\) at \(\hbar \omega = 3.06\mathrm{eV}\) , most of the light is absorbed in the crystal. So L0 is 10- 100 nm. Moreover, the excitation asymmetry parameter falls as the photon frequency increases. Previously experiment demonstrated that the L0 is about \(100\mathrm{nm}\) when \(\hbar \omega\) is \(3.06\mathrm{eV}^{6}\) . Based on the above discussion, measured \(50\mathrm{nmL}_{0}\) at \(3.49\mathrm{eV}\) is
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[148, 89, 850, 136]]<|/det|>
+reasonable in this work. Measured \(\mathrm{L_0}\) is an essential prescription in designing ferroelectric photovoltaic devices and photocatalysts.
+
+<|ref|>text<|/ref|><|det|>[[147, 144, 852, 303]]<|/det|>
+More remarkable, the electric field intensity at Au/BTO interface increases from about \(3\mathrm{kV / cm}\) to about \(15\mathrm{kV / cm}\) , five times larger (FIG. S8). \(15\mathrm{kV / cm}\) is almost one order of magnitude higher than that of common \(\mathrm{SCRs}^{19, 35 - 39}\) . The analogous phenomenon at - P Au/BTO is shown in FIG. S8b. It is estimated that the steady- state charges density at the interface increases about 2- 3 orders of magnitude under illumination (FIG. S8c).
+
+<|ref|>text<|/ref|><|det|>[[147, 311, 853, 580]]<|/det|>
+The concentration of photogenerated charges can be attributed to twofold factors, the enhanced electric field around Au particles and the oxygen vacancies in BTO (FIG. S10). Due to the constructed metal/ferroelectric junctions, an intense field is concentrated about \(150\mathrm{nm}\) away from the margin of Au particles. Under light excitation, impact ionization of oxygen vacancies occurs within the enhanced electric field, as reported in the literature \(^{6, 40}\) . A photon produces the first pair of electron \(\mathrm{e_1}\) and hole \(\mathrm{h_1}\) from the oxygen vacancy. In this situation, \(\mathrm{e_1}\) with high mobility relaxes and produces a second pair of electron \(\mathrm{e_2}\) and hole \(\mathrm{h_2}\) . As a result, photogenerated charges are concentrated at the SCRs beneath BTO within a hemisphere of radius \(\mathrm{L_0}\) about \(50\mathrm{nm}\) around Au.
+
+<|ref|>text<|/ref|><|det|>[[147, 589, 852, 691]]<|/det|>
+To further confirm the charge transfer between ferroelectric BTO to Au, in situ photodeposition and KPFM experiments are performed. Two typical photodeposition reactions based on reduction (with photogenerated electrons) and oxidation (with photogenerated holes) reactions are carried out, under \(355\mathrm{nm}\) UV- light excitation:
+
+<|ref|>equation<|/ref|><|det|>[[291, 698, 704, 748]]<|/det|>
+\[2CrO_4^{2 - } + 5H_2O + 6e^- \rightarrow Cr_2O_3\downarrow +100H^-\] \[Mn^{2 + } + xH_2O + (2x - 2)h^+ \rightarrow MnO_x\downarrow +2xH^+\]
+
+<|ref|>text<|/ref|><|det|>[[147, 754, 852, 887]]<|/det|>
+AFM topography in FIG. 3a shows that \(\mathrm{CrO_4^{2 - }}\) is primarily reduced on Au particles to form a solid layer in +P domain, indicating the formation of \(\mathrm{Cr_2O_3}\) layer. The charge density of electrons on Au particles is higher than that of BTO. Thus, the \(\mathrm{CrO_4^{2 - }}\) is primarily reduced to \(\mathrm{Cr_2O_3}\) on Au particles instead of ferroelectric BTO. Furthermore, the KPFM images before and after photodeposition are measured and shown in FIG. 3b
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[147, 88, 853, 387]]<|/det|>
+and 3c. The darker in the LWF images indicates higher LWF. After deposition, the photogenerated electrons remain concentrated around Au particles. The built- in voltage at Au/BTO is further enhanced due to the deposition of \(\mathrm{Cr_2O_3}\) . High- resolution Scanning Electron Microscope (HRSEM) image in FIG. 3d also shows a thin layer of \(\mathrm{Cr_2O_3}\) on the surface of Au particles. In contrast, as shown in FIG. 3e, \(\mathrm{Mn^{2 + }}\) prefers to be oxidized to \(\mathrm{MnO_x}\) on Au particle under UV- light. At the same time, the KPFM images in FIG. 3f and 3g indicate the charge separation at Au/BTO interface remains the same after photodeposition. HRSEM in FIG. 3h shows that \(\mathrm{MnO_x}\) prefers to deposit on Au particle. The above in situ photodeposition experiments validate the proposed model that the photogenerated electrons and holes are separately collected by the Au particles in +P and -P domains of BTO.
+
+<|ref|>text<|/ref|><|det|>[[147, 395, 853, 888]]<|/det|>
+Ferroelectric photocatalyst is then designed based on the above experiment phenomenon and measured essential experimental prescription. Except for the thermalization length of BTO, several other factors should also be concerned, such as array density, Au particle size. The work function, metal- ferroelectric interface, and surface plasmon resonance (SPR) of Au particles are pronouncedly size- dependent41, 42. Despite the Au array's density decrease with Au particle size, large Au particles with higher charge capacity, better metal/ ferroelectric interface, and red- shift SPR are preferred. Besides, the electric field around the charged Au particle arrays should also be well considered. Thus, the distance between the margin of two adjacent Au particles should be more than twice \(\mathrm{L_0}\) due to the electrostatic repulsion between them (FIG. S18 and S19). Based on these aspects, appropriately designed ferroelectric photocatalysts are shown in FIG. 4a. Periodic hexagonal close- packed (hcp) Au particles on BTO are prepared with self- assemble polystyrene microsphere template (Details in Supporting Information, FIG. S12- 16). The Au particles are about 200- 230 nm in diameter with 500 nm periodicity. The distance between the margin of two adjacent Au particles is about 250- 300 nm. The electric field simulation indicates that the electric field surrounding Au array is massively enhanced and radially expands, but different from an individual one. The enhanced field around the center Au particle is almost a
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[147, 88, 853, 330]]<|/det|>
+hemisphere and contracted horizontally compared with individual one due to the electrostatic repulsion between the neighbor Au particles. The enhanced field extends about \(80\mathrm{nm}\) from the margin of Au particle. A nonenhanced area is also found between the two Au particles due to the electrostatic repulsion. When the distance between the margin of two adjacent Au particles is \(100\mathrm{nm}\) , i.e., twice of \(\mathrm{L_0}\) , the periodicity decreases to \(300\mathrm{nm}\) . The strong electrostatic repulsion between the neighbor Au particles enables a shrunken and reduced electric field (FIG. S19). The electric field extends less than the \(\mathrm{L_0}\) and cannot conform to the demand of charge collection within \(\mathrm{L_0}\) . Based on the simulation results, we demonstrate that the designed Au array on BTO is rational.
+
+<|ref|>text<|/ref|><|det|>[[147, 339, 853, 803]]<|/det|>
+Furthermore, X- ray photoelectron spectroscopy (XPS) is conducted to investigate the interfacial contact between Au array and BTO. As shown in FIG. 4b, several peaks are layered together and can be figured as 4d peaks of \(\mathrm{Ba}^{2 + }\) and 4f peaks of \(\mathrm{Au}^0\) . These peaks can fit certain constraints, such as area ratio and characterized peak location (Details in Supporting Information). Both the \(\mathrm{Au}^0 4\mathrm{f}_{7 / 2}\) and \(\mathrm{Au}^0 4\mathrm{f}_{5 / 2}\) peaks are divided into two peaks. The binding energy (BE) between the two peaks is about \(0.6\mathrm{eV}\) . Because the BE difference between the \(\mathrm{Au}^0\) and \(\mathrm{Au}^{1 + }\) is usually about \(1.5\mathrm{eV}\) . And it is the same with \(\mathrm{Au}^{1 + }\) and \(\mathrm{Au}^{3 + }\) . Thus, the Au element is in the chemical state of \(\mathrm{Au}^0\) but different charge density due to the constructed heterojunction with BTO. In detail, the higher BE of \(\mathrm{Au}^0 4\mathrm{f}\) can be assigned to the Au particle at +P with quasi- Ohmic contact. Analogously, the lower BE of \(\mathrm{Au}^0 4\mathrm{f}\) can be assigned to the Au particle at -P with Schottky contact. Notably, the electrostatic charges on Au particles are the requirement for the enhanced electric field at Au/BTO interface. Both the XPS and KPFM results confirm the well- fabricated metal/ferroelectric heterojunctions and the polydomain ferroelectric structure of BTO crystal. And thus, the reduction and oxidation reactions can be simultaneously achieved and spatially separated on the surface of the BTO crystal.
+
+<|ref|>text<|/ref|><|det|>[[148, 811, 851, 886]]<|/det|>
+Hydrogen evolution reaction in FIG. 4c demonstrates that the Au/BTO exhibits significantly higher activity than bare BTO, providing further experimental verification of the collecting and utilizing photogenerated charges at metal/ferroelectric interface.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[147, 88, 853, 330]]<|/det|>
+After selectively photodeposition (Rh/Cr₂O₃ and CoOOH)⁴³, ⁴⁴, the overall water splitting is achieved in pure water (FIG. 4d). This could be the first case in the literature that ferroelectric structures can split pure water via photocatalysis. Even though perovskite BTO possesses both thermodynamically suitable energy band and massive charge separation driving force for water splitting, the overall water splitting of BTO is still not reported yet. After constructing nanostructures to collect and utilize the photogenerated charges, we successfully demonstrate that the overall water splitting in pure water can be achieved. These results emphasize the significance of utilizing the photogenerated charges in ferroelectrics within the thermalization length.
+
+<|ref|>sub_title<|/ref|><|det|>[[149, 344, 256, 361]]<|/det|>
+## Conclusions
+
+<|ref|>text<|/ref|><|det|>[[147, 376, 853, 646]]<|/det|>
+In summary, we have shown that the overall photocatalytic water splitting can be achieved in ferroelectric photocatalysts via collecting and utilizing the photogenerated charges within the thermalization length in a prototype of Au/BTO photocatalysis. Using KPFM, we have observed the concentration of photogenerated charges within the thermalization length of BTO at the Au/BTO interface. Measured thermalization length is an essential experimental prescription for fabricating high- efficiency photocatalytic and photovoltaic devices at the nanoscale. With this novel structure design, constructed ferroelectric photocatalysts can perform photocatalytic overall water splitting. The experimental design definitely opens a paradigm of designing the ferroelectric photocatalysts for efficient solar energy conversion.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[148, 90, 848, 338]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[147, 350, 853, 533]]<|/det|>
+FIG. 1 (a) Schematics of proposed metal/ferroelectric photocatalyst. (b) AFM topography of Au particles on \(\mathrm{BaTiO_3}\) single crystal. Scale bar, \(200 \mathrm{nm}\) . (c) LWF of Au/BTO in the dark. Scale bar, \(200 \mathrm{nm}\) . (d) LWF of Au/BTO under \(355 \mathrm{nm}\) UV-light \((0.5 \mathrm{mW / cm^2})\) . Scale bar, \(200 \mathrm{nm}\) . (e) Line 1 (dark) and 2 (UV-light) profile images were taken across two antiparallel ferroelectric domains of BTO. (f) Line 3 (dark) and 4 (UV-light) profile images were taken across two antiparallel ferroelectric domains of Au/BTO.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[213, 90, 792, 463]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[147, 477, 852, 581]]<|/det|>
+FIG. 2 (a) LWF and fitting line at the interface of +P Au/BTO in the dark (black) and 355 nm UV-light (red). (b) LWF and fitting line at the interface of -P Au/BTO in the dark (black) and 355 nm UV-light (red). (c) Diagram of charge separation of Au/BTO at +P(left) and -P(right) in dark(black solid line) and light(red dashed line).
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[153, 90, 850, 389]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[147, 404, 856, 646]]<|/det|>
+FIG. 3 (a-d) Photoreduction on Au at +P BTO. (a) AFM topography of Au/BTO at +P before (left) and after (right) photodeposition. (b) LWF in dark before (left) and after (right) photodeposition. The darker indicates the higher LWF. (c) LWF in light before (left) and after (right) photodeposition. (d) Schematic illustrations of photoreduction of \(\mathrm{Cr_2O_3}\) on Au at +P. (e-h) Photooxidation on Au at -P BTO. (e) AFM topography of Au/BTO at -P before (left) and after (right) photodeposition. (f) LWF in dark before (left) and after (right) photodeposition. The darker indicates the higher LWF. (g) LWF in light before (left) and after (right) photodeposition. (h) Schematic illustrations of photooxidation of \(\mathrm{MnO_x}\) on Au at -P. Scale bar, 200 nm.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[150, 88, 835, 545]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[147, 553, 852, 655]]<|/det|>
+FIG. 4 (a) SEM image of Au array on BTO single crystal (upper) and simulated electric field intensity distribution of Au array/BTO (lower). (b) High-resolution XPS profiles of Au array/BTO. (c) Hydrogen evolution reaction of Au array/BTO and BTO. (d) Overall water splitting reactions of Au array/BTO with cocatalysts in pure water.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[148, 90, 359, 108]]<|/det|>
+## Supporting Information
+
+<|ref|>text<|/ref|><|det|>[[148, 117, 704, 135]]<|/det|>
+Supporting Information is available from the xxx or from the author.
+
+<|ref|>sub_title<|/ref|><|det|>[[149, 146, 309, 163]]<|/det|>
+## Acknowledgments
+
+<|ref|>text<|/ref|><|det|>[[147, 172, 852, 357]]<|/det|>
+This work was conducted by the Fundamental Research Center of Artificial Photosynthesis (FReCAP) and financially supported by the National Natural Science Foundation of China (22088102, 22102173), CAS Projects for Young Scientists in Basic Research (YSBR- 004), National Key R&D Program of China (2021YFA1500600) and Dalian Institute of Chemical Physics Innovation Foundation (DICPSZ201801). Fellowship of China Postdoctoral Science Foundation, Grant No. 2020M690041.
+
+<|ref|>sub_title<|/ref|><|det|>[[149, 368, 334, 385]]<|/det|>
+## Author contributions
+
+<|ref|>text<|/ref|><|det|>[[147, 394, 852, 524]]<|/det|>
+Y.L. performed the experiments and wrote the paper. Z. W. and Y. W. performed the fS- TAS experiments. X. W, D. L, and H. Y. performed the analysis of fs- TAS measurements.S.Y. and J.H. performed the photocatalytic experiments. Q. Z. and H.J. performed the analysis of KPFM measurements. F.F. and C.L. analyzed data and revised the manuscript.
+
+<|ref|>sub_title<|/ref|><|det|>[[149, 535, 323, 552]]<|/det|>
+## Competing interests
+
+<|ref|>text<|/ref|><|det|>[[149, 562, 850, 606]]<|/det|>
+The authors declare no competing financial interests and no competing non- financial interests.
+
+<|ref|>text<|/ref|><|det|>[[147, 644, 616, 718]]<|/det|>
+Received: ((will be filled in by the editorial staff)) Revised: ((will be filled in by the editorial staff)) Published online: ((will be filled in by the editorial staff))
+
+<|ref|>sub_title<|/ref|><|det|>[[148, 747, 243, 763]]<|/det|>
+## Reference:
+
+<|ref|>text<|/ref|><|det|>[[147, 770, 852, 900]]<|/det|>
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+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[147, 85, 850, 121]]<|/det|>
+44. Kibria MG, et al. Tuning the surface Fermi level on p-type gallium nitride nanowires for efficient overall water splitting. Nat Commun 5, 3825 (2014).
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[44, 42, 311, 70]]<|/det|>
+## Supplementary Files
+
+<|ref|>text<|/ref|><|det|>[[44, 92, 765, 113]]<|/det|>
+This is a list of supplementary files associated with this preprint. Click to download.
+
+<|ref|>text<|/ref|><|det|>[[61, 130, 265, 150]]<|/det|>
+- AuarrayBTOSltxt.pdf
+
+<--- Page Split --->
diff --git a/preprint/preprint__027b827c3b80c86306a8c299d162b6cb2bb24a38c0ffa3c834d579a1e6c6338c/images_list.json b/preprint/preprint__027b827c3b80c86306a8c299d162b6cb2bb24a38c0ffa3c834d579a1e6c6338c/images_list.json
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index 0000000000000000000000000000000000000000..9ab4eb6e4008e17cdb27eb5b4dac964aea5346c2
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+++ b/preprint/preprint__027b827c3b80c86306a8c299d162b6cb2bb24a38c0ffa3c834d579a1e6c6338c/images_list.json
@@ -0,0 +1,122 @@
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+ "caption": "Figure 1. Primary influenza infection induces strong early EFRs prior to GC formation.",
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+ "caption": "Figure 5. BCR-mediated survival and proliferation are defective in the absence of TLR signaling. (a) Mixed bone-marrow chimeras (BMC) established with irradiated CD45.1 C57BL/6 host mice reconstituted with \\(\\mu \\mathrm{MT}\\) donor BM and BM from either DKO or TKO, then infected with 10 PFU A/PR8 6 weeks later. (b) Quantification of DKO and TKO BMC compared to WT BMC controls of B cell subsets at 7 dpi. (c) Pooled splenic and LN B cells from WT, DKO, or TKO B cells negatively enriched (>98% purity) were pulsed with graded levels of anti-IgM for 3 hours, then stimulated with CD40L and BAFF for 48 hours. (d) Quantification of cell viability (top) and cell proliferation (bottom). (e) Ki67+ non-EF/GC B cells in chimeras from 5 dpi. Graphs are representative of two experiments (n>/=4). Error bars represent 95% CI, statistical significance determined by one-way ANOVA and unpaired Student's t-test with Welch's correction. \\*: p<0.05, \\*\\*: p<0.001, \\*\\*\\*: p<0.0001.",
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+ "caption": "Figure 6. Lack of functional TLR signaling leads to altered BCR complex dynamics and failure to upregulate IRF4. (a) Representative flow plots showing IRF4 and IRF8 expression in infected mice, highlighting clustering of EF PBs (left). Fold-difference in IRF4 and IRF8 of non-EF/GC B cells from chimeras at 5 dpi (right). (b) Pre-enrichment baseline of IRF4 and IRF8 in B cells of each strain (left) and representative IRF4 versus IRF8 flow plots from cells stimulated with indicated anti-IgM concentrations (right). Colored numbers in plots correspond to each like-colored axis. (c-d) Fold-change compared to non-stimulated WT B cells in IRF4 (c) and IRF8 expression (d) after treatment outlined in Fig. 5c. (e) Fold-change in cytoplasmic c-Rel",
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+ "caption": "Figure 8. Repeated antigen exposure alone biases antigen-specific B cells towards a GC fate, requires sustained LPS exposure to polarize towards an EF fate. (a) Mice were immunized s.c. with influenza and LPS in alum, then boosted with antigen alone or antigen with LPS and LPS alone on days specified, followed by analysis of draining LN. (b-e) Quantification of total HA B cells (b), Ki67+ HA B cells (c), HA GC B cells (d) and HA EF PBs (e). (f)",
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+# Toll-like receptor mediated inflammation directs B cells towards protective antiviral extrafollicular responses
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+Jonathan Lam Univerity of California, Davis Nicole Baumgarth ( nbaumga3@jhmi.edu ) School of Veterinary Medicine, University of California, Davis
+
+## Article
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+# Keywords:
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+Posted Date: November 22nd, 2022
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+DOI: https://doi.org/10.21203/rs.3.rs- 2226474/v1
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+License: © This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+Additional Declarations: There is NO Competing Interest.
+
+Version of Record: A version of this preprint was published at Nature Communications on July 5th, 2023. See the published version at https://doi.org/10.1038/s41467- 023- 39734- 5.
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+# Toll-like receptor mediated inflammation directs B cells towards protective
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+# antiviral extracellular responses
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+Jonathan H. Lam \(^{1,2}\) and Nicole Baumgarth \(^{1,2,3,4}\)
+
+\(^{1}\) Graduate Group in Immunology, \(^{2}\) Center for Immunology and Infectious Diseases, \(^{3}\) Dept.
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+Pathology, Microbiology and Immunology, University of California Davis, Davis, USA
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+Extrafollicular plasmablast responses (EFRs) are considered to generate antibodies of low affinity that offer little protection from infections. Paradoxically, high avidity antigen- B cell receptor engagement is thought to be the main driver of B cell differentiation, whether in EFRs or the slower- developing germinal centers (GCs). This study demonstrates that influenza infection rapidly induced EFRs generating protective antibodies in a B cell intrinsic and extrinsic Toll- like receptor (TLR)- dependent manner. B cell- intrinsic TLR signals supported antigen- stimulated B cell survival, clonal expansion, and the differentiation of B cells via induction of IRF4, the master regulator of B cell differentiation, through activation of NF- kB c- Rel. Provision of sustained TLR4 stimulation after immunization altered the fate of virus- specific B cells towards EFRs instead of GCs, accelerating rapid antibody production and improving their protective capacity over antigen/alum administration alone. Thus, inflammatory signals act as B cell fate- determinants for the rapid generation of protective, antiviral EF responses.
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+Acute respiratory tract infections induce neutralizing antibody responses that are critical for long lasting protection. Germinal center (GC) responses are considered the most effective in generating protective antibodies, as antigen- specific GC B cells undergo extensive somatic hypermutation, resulting in long- lived antibody- secreting plasma cells (ASCs) that generate high- affinity, strongly neutralizing antibodies. However, after primary influenza virus infection, GCs appear relatively late, usually after viral contraction, and thus are unlikely to contribute towards virus clearance (Lam and Baumgarth, 2019). Instead, early antibodies are produced from extracellular plasmablast responses (EFRs) that develop in the respiratory tract- draining mediastinal lymph nodes (medLN) shortly after infection and before GC formation (Rothaeusler and Baumgarth, 2010). Early studies by Gerhard and colleagues demonstrated that influenza inoculations of BALB/c mice resulted in rapid production of early hemagglutinin (HA)- specific, neutralizing IgG antibodies that were protective and in repertoire distinct from those induced later in the response (Kavaler et al., 1990). This included unmutated IgG from B cells of the prototypic HA- specific C12 idiotype, which were excluded from GCs after intra- nasal (i.n.) influenza infection (Rothaeusler and Baumgarth, 2010). This indicates that protective, germline- encoded, antigen- specific ASCs can be generated from the restrictive repertoire of inbred mice via EFRs that are temporally distinct from GCs.
+
+Addressing how these distinct B cell activation outcomes contribute to humoral immunity against acute respiratory tract virus infections, where rapid induction of immunity is a key determinant of survival, is pertinent for our understanding of the pathogenesis of these infections and the role of B cell immunity. Additionally, it is important for vaccine design. Vaccines are generally considered only successful if inducing GC- derived, long- lived plasma cells and memory B cells. However, vaccinations during the ongoing COVID- 19 pandemic or during seasonal influenza virus infections, are likely more effective if they can induce immune
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+protection more quickly, i. e. through EFRs. The signals required for EFR induction, however, have not been resolved. Indeed, EFR induction has been considered of little consequence, as these responses are thought of as only short- lived and of low protective capacity.
+
+Yet, groundbreaking studies by the Hengartner's group over two decades ago, demonstrated that antibody responses to vaccinia stomatitis virus showed a surprising lack of changes in virus- specific serum antibody affinities over the course of infection. Instead, they demonstrated that antibodies of relatively high affinity for their cognate antigen were generated both early and late after infection (Kalinke et al., 1996; Roost et al., 1995), suggesting that following a viral infection both EFR and GC- derived antibodies might generate antibody responses of overall high affinity. These data are consistent also with reports by the Brink lab, who demonstrated using the BCR- transgenic swHEL model, that strong BCR- affinity for antigen drove the rapid proliferation and differentiation of hen egg lysozyme (HEL)- specific B cells in EFRs, while lower affinity interactions induced stronger GC responses instead (Paus et al., 2006). Generation of EFRs from high- affinity B cells is consistent also with findings that strong BCR- signaling drives upregulation of interferon regulatory factor 4 (IRF4), a critical transcriptional regulator of plasma cell development (Ochiai et al., 2013). Such a model of affinity- based induction of proliferation and differentiation would be consistent with EFRs' potential to generate high affinity antibodies.
+
+However, whether BCR- antigen interactions alone drive B cell fate decisions towards EFRs remains unknown. Furthermore, in contrast to studies indicating that highly functional antibodies emerge from EFRs, other work has shown that EFRs developing in the spleen following Salmonella typhimurium and Ehrlichia infections generate large quantities of predominantly non- specific antibodies (Di Niro et al., 2015; Trivedi et al., 2019), in support of the idea that EFR are of little protective consequence. Together, these data seem to indicate that
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+additional infection- induced signals shape EFRs. What these signals are, and how they might affect the functionality and protective capacity of EFR- derived antibodies, is unresolved.
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+Work interrogating pattern recognition receptors (PPR) signaling after immunization has identified numerous effects on B cells and it is well appreciated that certain PAMPS can work as adjuvants to support vaccine responses. For example, RNA of sheep red blood cells stimulated RNA- sensing PPR mitochondrial antiviral signaling protein (MAVS) and TLR3 (Loetsch et al., 2017), that supported more robust B cell responses. Also, mice immunized with nanoparticles containing the TLR4 ligand 4'- monophosphoryl lipid A induced a more robust, antigen- specific ASC response compared to mice given antigen alone, while the combination of TLR4 and TLR7 agonists was reported to fate B cells towards early memory and germinal center responses, resulting in persistent antibody responses from bone marrow long- lived plasma cells, rather than rapid EFRs (Kasturi et al., 2011). B cell- intrinsic MyD88 signaling was shown also to increase proliferation and differentiation of plasma cells and induced expansion of Bcl6+ germinal center B cells to virus- like particles (Tian et al., 2018). And in Friend virus infection and after infection with influenza virus, B cell- intrinsic expression of TLR7 (but not TLR3) was shown to be required for germinal center formation (Browne, 2011; Heer et al., 2007). In contrast, stimulation with the TLR9 ligand CpG antagonized B cell antigen uptake and processing resulting in disruption of affinity maturation and a reduction in early- formed, antigen- specific plasma cells in the spleen, along with a reduction in long- term, antigen- specific serum IgG avidity (Akkaya et al., 2018). Observations of TLR integration with canonically distinct B cell activation pathways may play a role in the reported effects of TLR agonists on antibody responses, as TLR4 was shown to integrate with BCR signaling via the phosphorylation of syk (Schweighoffer et al., 2017), while the TLR adaptor MyD88 was shown to be critical for signaling via the B cell survival receptor TACI (He et al., 2010). Collectively, existing evidence suggests that TLR and/or MyD88-
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+mediated signaling affects B cell responses, but how these signals integrate to regulate B cell responses remains incompletely resolved.
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+Here we demonstrate that inflammatory signals induced by influenza infection, but not immunization with virus particles in alum, triggers the rapid generation of protective antibody responses via formation of EFRs in a TLR signaling- dependent manner. TLR- signaling fated B cells towards the EFR/plasma cell state after infection through the strong induction of IRF4 via activation of NFkB c- Rel. Similarly, sustained co- administration of LPS with virus/alum immunization rescued EFR induction after vaccination and improved antibody- mediated protection against lethal influenza challenge.
+
+Results
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+The extracellular B cell response generates antigen- specific antibodies after intranasal influenza infection but not after peripheral immunization
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+Intranasal infection of C57BL/6 mice resulted in the appearance of pre- GC/GC- like (GC) B cells (CD45Rhi/CD19hi/CD38lo/CD24hi) at 7 days post infection (dpi) that were also interferon regulatory factor 8 (IRF8) high, a transcription factor associated with GC polarization(Xu et al., 2015) (Fig. 1a, top). Early formed plasmaloblasts of the EFR (EF PBs) were identified as CD45Rlo/CD19+/CD38lo/CD24+ as well as IRF4- high, the latter associated with an ASC fate (Ochiai et al., 2013; Xu et al., 2015), with many also expressing CD138 (Fig. 1a, bottom), a canonical marker of ASCs. EF PBs and GC B cells both had lost surface IgD and most had lost IgM by 7 dpi (Fig. 1b), indicating a high level of class- switching. While B cell frequencies in the medLN remained relatively constant throughout the time course (Fig. 1c), drastic changes in EF and GC compartments took place. Relatively few GC B cells were found
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+until after 9 dpi (Fig. 1d), while EF PBs were seen as early as 5 dpi, peaking at 9 dpi and contracting by 14 dpi (Fig. 1e).
+
+Only EF PBs, purified by flow cytometry, secreted pathogen- specific antibodies at 7 dpi, detected as influenza- bound total Ig and IgG2c by ELISPOT on cells (Fig. 2a), demonstrating that EF PBs contain the only functional, influenza- specific ASCs in the medLN at this timepoint. Additionally, use of two distinct fluorophore- labeled, recombinant hemagglutinin (HA) of A/PR8 identified HA- specific (HA) B cells (Fig. 2b) and their preferred participation in EF over GC B cell responses (Fig. 2c- e), with HA- bound B cells comprising as much as \(15\%\) of the EFR compartment at the early time points. The independence of EFR formation from GCs during influenza infection, suggested previously (Miyauchi et al., 2016), was confirmed with the presence of EF B cells in infected Mb- 1- Cre Bcl6 f/f mice that are unable to form GCs (Suppl. Fig. 1). Thus, EFRs are responsible for the earliest antigen- specific antibody response to influenza infection and are independent of GCs.
+
+A different B cell response quality was seen after subcutaneous (s.c.) immunization with influenza virions in alum adjuvant. Compared to infection, immunizations yielded smaller GCs and little to no EFRs in draining LN at 3, 7 and 10 dpi (Fig. 3a, b). At the antigen- dose used, GCs were only 3- fold smaller but EFRs were at least 40- fold smaller and barely detectable after immunization (Fig. 3c). Consequently, fewer HA B cells were detected over the course of immunization compared to infection (Fig. 3d, e). The HA- specific B cells that were present expressed no CD138 and only a few expressed Ki67 (Fig. 3d, e), a marker of cell cycling. Increasing the virus antigen- dose for immunization increased GC B cell numbers but had no effect on the size of the EFR (Suppl. Fig. 2). We conclude that infection- induced signals are required for EFRs to influenza.
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+To identify the influenza infection- induced signals that support EFRs, we first considered inflammatory cytokines that were previously identified as contributing towards B cell differentiation and ASC maintenance, as well as S100A9, a damage- associated molecular pattern protein produced by stressed and dying cells and released during influenza infection(Tsai et al., 2014). Among the cytokines tested, IL- 1, Type I interferons (IFN), IL- 6, and TNFα are induced early after influenza infection (Coro et al., 2006; Hayden et al., 1998; Sanders et al., 2011) and support ASCs (Aversa et al., 1993; Chatziandreuou et al., 2017; Jego et al., 2003). IL- 12 and the effector cytokine it supports, IFNγ, which is produced by T cells, NK cells, and ILC1, are known to support ASC maintenance (Dubois et al., 1998; Miyauchi et al., 2016). However, mice deficient in each of these soluble cytokines or their receptors showed EFRs similar to their wild type (WT) controls at 7 dpi (Suppl. Fig 3a). B cells are also importantly affected through innate signals received via Toll- like receptors (TLRs). Influenza pathogen- associated molecular patterns (PAMPs) activate endosomal TLR3(Le Goffic et al., 2007) and TLR7 (Diebold et al., 2004), while TLR4 has a role in infection- mediated pathology (Nhu et al., 2010). However, infection of mice lacking TLR3, TLR4, or TLR7 had no significant effects on the number of total EF PBs and CD138+ EF PBs compared to their WT controls (Suppl. Fig. 3b). Thus, individual cytokines or innate signaling receptors appeared either not necessary or redundant for EFR development.
+
+The potential for redundancy of inflammatory signals contributing to the regulation of EFRs was addressed with mice double- deficient for both TLR adaptors, TRIF (Yamamoto et al., 2003) and MyD88 (DKO), which also transduces IL- 1 and IL- 18 signaling (Adachi et al., 1998). Indeed, the DKO mice showed strongly reduced EFRs at 7 dpi (Fig. 4a). TRIF single knockouts had EFRs comparable to that of wild type. While MyD88 single knockouts EFRs were variably reduced on average, these differences did not reach statistical significance (Fig. 4a).
+
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+Importantly, while EFR- derived serum from WT mice provided robust protection against a lethal influenza virus challenge after adoptive transfer, DKO serum provided substantially reduced passive protection (Fig. 4b). Surprisingly, infection of another TLR- null model, through deletion of genes for TLR2 (Takeuchi et al., 1999), TLR4 (Hoshino et al., 1999) and a missense mutation of Unc93b (Tabeta et al., 2006) (TKO), showed EFRs similar to WT controls (Fig. 4a) and had no significant reduction in serum passive protective capacity compared to controls (Fig. 4c), despite slight reductions in CD138+ EF PBs at 7 dpi (Fig. 4a). This indicated a divergence in EFR dynamics mediated by the method of TLR abrogation.
+
+To distinguish potential B cell extrinsic from intrinsic effects of TLR signaling on EFR induction, mixed bone marrow irradiation chimeras, in which only B cells lacked either MyD88 plus TRIF (DKO BMC) or all TLRs (TKO BMC), were infected with influenza and analyzed at 7 dpi (Fig. 5a). Both the DKO and the TKO BMCs showed reduced EF and GC responses compared to WT chimera controls (Fig. 5b). The data indicate the importance of B cell intrinsic MyD88/TRIF and TLR signaling in regulating B cell responses overall. The differences in EF responses between the BMC and the total TLR- null chimeras is likely due to their differences in virus clearance. While virus titers at 10 dpi were no different between control and TLR- null BMC (Suppl. Fig. 4a), global DKO and TKO mice showed higher viral loads compared to wild type (Suppl. Fig 4b). These higher virus titers correlated with significantly larger EFRs in TLR- null mice (Suppl. Fig. 4c). Thus, B cell- intrinsic TLR signaling support early EFR formation, while additional B cell- extrinsic inflammatory signals, further drive EFR generation in a manner that correlates with pathogen burden,
+
+B cell intrinsic TLRs support B cell proliferation and survival
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+To assess the direct effects of TLR signaling on B cell dynamics, negatively enriched naive, follicular B cells were cultured with graded doses of anti- IgM (Fab) \(_2\) and LPS, BCR and TLR agonists, respectively. Anti- IgM plus LPS co- treatment modestly enhanced viability compared to LPS alone and strongly supported B cell proliferation, as indicated by increased Ki67 expression compared to either treatment alone (Suppl. Fig. 5a, b). Co- stimulation also strongly induced IRF4 and IRF8, critical transcriptional regulators of the B cell fate (Suppl. Fig. 5c, d), while anti- IgM enhanced (and LPS inhibited) induction of IL21R expression, a cytokine receptor required for the generation of ASCs (Ozaki et al., 2002) (Suppl. Fig. 5e). Taken together, intrinsic TLR stimulation enhanced BCR- induced B cell entry into the cell cycle, promoted cell survival, and along with BCR signaling, maintained expression of IL21R.
+
+Canonical TLR signaling is known to integrate with the BCR (Pone et al., 2012; Schweighoffer et al., 2017) and with TNF superfamily receptors (He et al., 2010), suggesting that TLR signaling- deficient B cells are altered not only in their response to TLR agonists, but also to signals induced via the BCR, or via co- stimulation through CD40 or BAFFR. Indeed, stimulation of naive, follicular DKO and TKO B cells pulsed with anti- IgM(Fab) \(_2\) for three hours, followed by incubation with CD40L and BAFF for 48 hours (Fig. 5c) showed reduced viability (Fig. 5d top) and a near inability to enter the cell cycle, as measured by Ki67 staining (Fig. 5d, bottom), compared to WT controls. MyD88 and TRIF single KO B cells showed reductions in survival (Suppl. Fig. 6a) and proliferation (Suppl. Fig. 6b) similar to each other with frequencies approximately half between those of WT and DKO B cells, indicating that TRIF, along with MyD88, support BCR- mediated activation signals in a non- redundant, additive manner. Similar results were obtained with BCR- stimulation alone (Suppl. Fig 6c, d), demonstrating participation of the TLR signaling axis in antigen- mediated activation. Consistent with these data, analysis of non- EF/GC B cells from influenza infected DKO and TKO B cell chimeras revealed significantly reduced expression of Ki67 ex vivo, compared to controls at 5
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+dpi, when IRF4 is highest within this uncommitted population during infection (Fig. 5e and not shown). Among the few HA-specific B cells present in DKO and TKO chimeras at this timepoint fewer expressed Ki67 (Suppl. Fig. 7). Thus, lack of antigen mediated integrated TLR signaling significantly reduced B cell survival and cell cycle entry consistent with earlier reports (Schweighoffer et al., 2017).
+
+Lack of functional TLR signaling leads to abnormal BCR complex dynamics and transcriptional control
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+BCR- mediated calcium flux, an immediate readout of BCR crosslinking, was comparable between WT, DKO or TKO B cells (Suppl. Fig. 8a), indicating that TLR- null B cells were not merely defective overall. Effector protein phosphorylation downstream of the BCR showed minor pre- treatment differences (Suppl. Fig. 8b), but activation of mitogenic pathway MAPK p38 (Khiem et al., 2008) and the pro- inflammatory NFkB1 (Liu et al., 1991) also were roughly similar following BCR stimulation for 30 min (Suppl. Fig. 8c, d). Somewhat surprisingly, Syk phosphorylation, a major activation node for several BCR- mediated signaling pathways (Kurosaki et al., 1994), and phosphorylation of the pro- growth regulator mTOR (Donahue and Fruman, 2007) were increased in TLR- signaling deficient B cells compared to WT (Supp. Fig. 8e, f). Together, these data indicate that TLR signaling defects have little effects on early induction of IgM- BCR mediated signal transduction pathways.
+
+In contrast, the absence of TLR signaling led to enhanced surface IgD expression in HA- specific B cells in vivo compared to controls (Suppl. Fig. 9a). Indeed, loss of surface IgD after anti- IgM plus BAFF/CD40L stimulation was strongly attenuated in DKO and TKO B cells relative to WT (Suppl. Fig. 9b). Along with the enhanced induction of cell death and the inability to proliferate to antigen- mediated activation, despite apparently normal early downstream BCR
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+signal transduction, TLR- signaling deficient B cells resembled anergic B cells (Goodnow et al., 1988).
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+IRF4 is upregulated proportionately to BCR signaling strength (Ochiai et al., 2013). Consistent with that, ex vivo analysis of EF plasmablasts showed their distinct higher expression of IRF4 and intermediate expression of IRF8 compared to non- EFR B cells (Fig. 6a, left). While ex vivo baseline levels of IRF4 in naive B cells were similar between the strains (Fig. 6b, left), non- differentiated B cells from DKO and TKO chimeras expressed significantly less IRF4 and IRF8 than WT at 5 dpi (Fig. 6a, right), indicating defects in IRF4 upregulation just before nascent EFRs form. In vitro IgM- BCR stimulation increased IRF4 and IRF8 expression in B cells from WT mice in an anti- IgM dose- dependent manner in the presence of CD40L and BAFF (Fig. 6b right, Fig. 6c). Strikingly, B cells from DKO and TKO mice failed to upregulate IRF4 under these conditions (Fig. 6b right, Fig. 6c), while IRF8 expression remained similar in all strains (Fig. 6b right, Fig. 6d). The data thus indicate defective BCR- mediated IRF4 induction in the absence of TLRs.
+
+NF- kB c- Rel is known to promote IRF4 expression upon nuclear re- localization and is downstream of both BCR and TLR4 (Grumont and Gerondakis, 2000). Strong, BCR dose- dependent stimulation- induced reductions in cytoplasmic c- Rel, inferring translocation of c- Rel to the nucleus, were seen in WT but much less so in TLR- signaling deficient B cells by flow cytometry as early as 30 min post stimulation (Fig. 6e, Suppl. Fig. 10a). Consistent with that result, WT but not DKO nor TKO B cells showed significant accumulation of c- Rel in the nucleus 1h but not 2h after anti- IgM and LPS stimulation, as assessed by ELISA on isolated nuclear- fractions (Suppl. Fig. 10b, c), concomitant with significant increases in total c- Rel expression (Suppl. Fig 10d). However, this delayed normalization in BCR- induced c- Rel expression was short- lived, as sustained c- Rel expression, which is associated with initialization of the B cell differentiation program (Roy et al., 2019), remained drastically lower in B cells lacking TLR-
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+signaling than in WT B cells 48h after anti- IgM pulse (Fig. 6f). Thus, even in the absence of deliberate addition of a TLR agonist, B cells require the presence of TLRs for proper activation of the c- Rel circuitry and for the long- term maintenance of c- Rel expression in response to antigen- mediated stimulation.
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+Reconstitution of EFRs during influenza immunization through LPS adjuvant
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+Since both B cell- intrinsic and - extrinsic TLR signals influenced EFR magnitude and kinetics, we tested whether LPS, a TLR4 agonist that initiates both MyD88 and TRIF signaling, could overcome the lack of EFRs induction after s.c. immunization with influenza virions in alum (Fig. 3). Indeed, C57BL/6 mice inoculated with influenza in alum plus LPS and provided with repeated LPS boosts thereafter (Ag+LPS; Fig. 7a), showed increased total B cells, GC B cells, and EF PBs compared to mice receiving influenza in alum alone (Ag Only) (Fig. 7b). Importantly, the number of HA- binding B cells were twice as high than in mice receiving antigen/alum alone (Fig. 7c), with several- fold increases of HA B cells in the EFR but not GC compartment (Fig. 7c). Thus, indicating that TLR activation not only increased expansion of antigen- specific B cells but preferentially shunted them towards an EFR fate. HA B cells from Ag+LPS mice were mostly positive for Ki67 and CD138, IRF4hi IRF8int., similar to EF PBs from influenza- infected mice (Fig. 7d, e). This level of EFR polarization was not seen in Ag Only mice (Fig. 7d, e). HA B cells from Ag+LPS immunized mice also showed improved survival compared to Ag Only mice (Suppl. Fig. 11a), consistent with results seen after infection, where HA- specific B cells from DKO and TKO mice showed much lower ratios of live/dead cells compared to those of WT mice (Suppl. Fig. 11b). Thus, sustained TLR- mediated inflammation in the presence of antigen leads to greater expansion of antigen- specific B cells and polarizes them towards the EFR fate.
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+Recent reports suggest that increased antigen valency (Kato et al., 2020) and antigen availability (Glaros et al., 2021) bias B cells towards a plasmablast fate. Given the above results, we asked how B cell fate dynamics and EFR- derived antibody functionality is affected by repeated antigen exposure with or without TLR agonist provision. For that, all mice were primed with influenza and LPS to ensure equivalent initiation of LN activation (Denton et al., 2022), followed by two additional boosts with antigen alone (Ag Boosted), or antigen plus LPS (Ag+LPS Boosted) or LPS alone (LPS Boosted) as a control (Fig. 8a). Both Ag Boosted and Ag+LPS Boosted mice had similar frequencies of HA B cells in the draining LN (Fig. 8b), and similar frequencies Ki67+ cells (Fig. 8c). However, HA B cells from Ag Boosted mice significantly polarized towards a GC fate (Fig. 8d), while HA B cells from Ag+LPS Boosted mice polarized significantly towards EFRs (Fig. 8e), indicating that despite repeated antigen inoculations, continued TLR stimulation was required for B cell development towards an EFR fate.
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+Ag+LPS Boosted mice had the highest levels of serum anti- influenza antibodies (Fig. 8f), demonstrating that increased EFRs correlated with enhanced antigen- specific antibody responses compared to a GC- biased response at 10 days post- prime. To determine whether the increased in IgG levels correlated with increased serum passive protective capacity, pooled serum from each boosted group was transferred to naive animals, who were subsequently challenged with a lethal dose of influenza. Mice receiving Ag+LPS Boosted serum showed no mortality, in contrast to mice receiving Ag Boosted or LPS Boosted serum (Fig. 8g). Moreover, mice that received serum from Ag+LPS Boosted mice lost significantly less weight overall than mice receiving serum from Ag Boosted animals (Fig. 8h). Together, these data demonstrate that sustained TLR- mediated inflammation polarizes antigen- specific B cells towards the EFR, leading to faster and stronger increases in protective, antigen- specific serum antibodies.
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+These studies demonstrate that TLR- mediated inflammatory signals direct antigen- specific B cells towards the formation of ASCs through EFRs and that EFR- derived antibodies induced after both influenza infection and following LPS- boosted immunization are functionally protective. Thus, EFRs triggered and supported by inflammatory stimuli can provide a high quality antibody response at a fraction of the time relative to GCs by taking a more direct route to becoming ASCs, forming actively secreting, hemagglutinin- specific plasmalasts during the first 7- 14 days of influenza infection prior to formation of GCs.
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+EFR development seems to be driven by specificities already present in the repertoire at the time of infection, including in a naive repertoire (Kalinke et al., 1996; Paus et al., 2006; Roost et al., 1995). In support, high affinity interactions between the BCR and its cognate antigen can drive a B cell effector fate, while lower affinity interactions confers a predisposition for the GC (Paus et al., 2006). However, the presence of high avidity B cells alone unlikely explains B cell fate decisions, as we show here that GC formation dominated early B cell responses to influenza immunization, while EFR dominated responses after influenza infection in the same inbred mice. If antigen- BCR affinity alone drives polarization towards an ASC fate, then the presence of antigen alone, assuming optimal delivery, stability, etc., should have resulted in an appreciable expansion of the same high affinity clones into the EFR than we saw after infection. Together, the data presented here demonstrate the need for infection- induced inflammation as a critical addition that supports EFR development. Inflammation affected EFR induction in an intrinsic manner, as functional Toll- like receptor (TLR) signaling axes either through MyD88/TRIF or TLR2/4/Unc93b induced optimal activation of the NF- kB c- Rel:IRF4 pathway (Suppl. Fig 12, top), as well as in an extrinsic manner, where TLR- mediated inflammation drove expansion of antigen- specific B cells into the EFR over the GC (Suppl. Fig 12, bottom), perhaps through alterations of the LN stromal compartment (Denton et al., 2022).
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+TLR stimulation leads to the activation of multiple gene programs, but a defect in NF- kB c- Rel nuclear localization and upregulation after BCR stimulation was specifically observed in DKO and TKO B cells, along with suboptimal survival and the inability to proliferate or induce IRF4 expression. Additionally, the TLR adaptor TRIF, which has not been shown previously to influence BCR- mediated activation, was demonstrated here to contribute equally and non- redundantly with MyD88 towards B cell survival and proliferation after anti- IgM treatment. The observed defect in IRF4 upregulation in TLR- null B cells is consistent with previous studies demonstrating the dependence of IRF4 induction on c- Rel nuclear translocation after both, TLR4 and BCR activation (Grumont and Gerondakis, 2000). Delayed normalization of BCR- mediated c- Rel localization in TLR- null B cells did occur two hours after initial stimulation. Given that c- Rel has multiple c- terminal phosphorylation sites (Harris et al., 2006), perhaps TLR components are required for an optimal phosphorylation signature in addition to release of c- Rel from IkBs. Indeed, it was observed that the regulatory activity of c- Rel carrying a truncated c- terminus was severely altered, despite functional dimerization, nuclear localization, and DNA binding (Carrasco et al., 1998). Therefore, ablation of a functional TLR axis may dictate the nuclear activity of c- Rel, while maintaining localization potential. Further work is needed to determine how TLRs affect phosphorylation of the c- terminal trans- activation domain of c- Rel and how specific gene regulation is altered in their absence. Additionally, while total c- Rel levels did increase after 48 hours in TLR- null B cells, they were still significantly below levels observed in respective WT controls at every concentration of anti- IgM treatment measured. Therefore, IRF4 and c- Rel expression correlate and reaching a certain threshold of c- Rel seems required for the optimal induction of IRF4 in B cells. Indeed, c- Rel dominates the NF- kB program of B cells after antigen- mediated activation (Roy et al., 2019), potentiating an activated clone for several rounds of proliferation and enabling access to genes associated with terminal differentiation into plasma cells.
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+Vaccination with antigen in alum, whether used as a prime or a boost, led to an expansion of antigen- specific clones primarily within the GC compartment, generating protracted serum antibody responses that were less protective at early times after immunization compared to the EFR dominated responses generated via antigen plus TLR agonist boosting. This suggests that increasing antigen valency (Kato et al., 2020) and/or amounts (Glaros et al., 2021) alone have a limited capacity to direct B cells towards early plasmablast responses following vaccinations, in contrast to vaccines adjuvanted with TLR agonists. The question that remains to be resolved is whether a drive towards EFR comes at the cost of effective GC- induced humoral immunity. Indeed, a recent study noted that TLR activation can worsen the quality of antigen- specific antibody responses due to a lack of GC- mediated affinity maturation (Akkaya et al., 2018), measuring a hallmark anti- hapten antibody response, where antibody affinity for the hapten increases over time as GCs mature and affinity maturation takes place (Foote and Milstein, 1991). However, increases in serum antibody affinities over time were not observed following infection with vesicular stomatitis virus (Kalinke et al., 1996; Roost et al., 1995) and high affinity, germline- encoded antibodies to hemagglutinin were induced early after influenza inoculation (Kavaler et al., 1990). Thus, the level of EFR- derived antibody avidity is contextual and relies on the inherent specificities of the host's pre- infection repertoire, while the initiation, kinetics, and magnitude of the EFR rely on TLR- mediated inflammatory signals. The data are consistent with findings that memory B cells upon reactivation preferentially form EFR rather than enter GCs, even during heterotypic responses (Wong et al., 2020). Given the predominance of inflammatory signals during acute infection, this allows for antigen- specific B cells to be shunted into EFR for rapid production of protective antibodies to infections. The data also provide a mechanistic explanation for the association of EFRs with severe COVID- 19 infection (Woodruff et al., 2020), and increased EFR- derived auto- antibody production with chronic inflammation, where a positive feed- forward loop may induce antibody- mediated pathology, driving enhanced inflammation, and thus further supporting ongoing EFRs. Even
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+when the host may carry a highly restricted BCR repertoire, TLR activation may allow for EFR- derived antibodies of low affinity to contribute towards protection, without which these antibodies' respective B cell clones would not reach the threshold of differentiation, nor activation. We conclude that B cell response fates are critically regulated by the innate, inflammatory milieu during antigen encounter.
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+## METHODS
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+Mice. Male and female 8- to 12- wk- old C57BL/6 (WT; CD45.2), B6. SJL- Ptprca Pepcb/BoyJ (CD45.1), B cell- deficient (μMT) mice as well as tNFAR1/2 KO, IFN- gamma KO, IL- 12 KO, CD19- Cre IFNAR KO, IL- 1R KO, TLR3 KO, TLR4 KO, TLR7 KO were commercially obtained (The Jackson Laboratories). Breeding pairs of MyD88/TRIF DKO and TLR2/4/unc93b TKO mouse strains were gifts from Dr. Barton (UC Berkeley). Breeding pairs of S100A9 KO mice were a kind gift of Dr. Rafatellu (UC San Diego).
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+Mixed bone marrow (BM) chimeras were generated by adoptively transferring 5x \(10^{6}\) total mixed BM cells from slgM- deficient (CD45.2, \(75\%\) ) and either C57BL/6 (WT; CD45.2), MyD88/TRIF double knockout (CD45.2), or TLR4/TLR2/Unc93b triple knockout (CD45.2) BM (25%) into 5- 6 week- old B6. SJL- Ptprca Pepcb/BoyJ (CD45.1) mice, lethally irradiated by exposure to a gamma irradiation source 24 h prior to transfer. Chimeras were rested for at least 6 weeks before infection and analysis.
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+Infections, and immunizations. Mice were anesthetized with isoflurane and infected intranasally with a sublethal dose (10 PFU/ml) of influenza A/Puerto Rico/8/34 (A/PR8) in 40 μl volumes in PBS. Virus was grown in hen eggs as previously outlined (Doucett et al., 2005) and each virus batch was titrated for its effect on mice prior to use. Specifically, sublethal infection doses were chosen that incurred no more than 20% weight loss. For immunizations, mice were
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+inoculated subcutaneously with \(1 \times 10^{7}\) PFU A/PR8 in a 50:50 alum to PBS mixture. For some experiments immunizations were supplemented with \(3 \mu g\) LPS, or mice were in addition boosted repeatedly with \(1 \times 10^{6}\) PFU A/PR8 and \(3 \mu g\) LPS in PBS or PBS alone as indicated.
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+Adoptive serum transfer for passive protection. Indicated strains of mice were infected with 10 PFU A/PR8. Blood from terminally anesthetized mice at 10 dpi was collected via cardiac puncture and spun down for serum separation. Serum from each strain was pooled and naïve C57BL/6 mice were subsequently injected i.v. with a mixture of \(50 \mu l\) pooled serum and \(150 \mu l\) 1x PBS. These mice were then inoculated i.n. with 100 PFU A/PR8 one day later and measured for weight loss.
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+Magnetic B cell enrichment. Splenic B cells were treated with Fc Block (anti- mouse CD16/32, clone 2.4. G2) and were then enriched using a mixture of biotinylated Abs (anti- CD90.2 (30- H12), anti- CD4 (GK1.5), anti- CD8a (53- 6.7), anti- Gr- 1 (RB6- 8C5), anti- CD11b (M1/70), anti- NK1.1 (PK136), anti- F4/80 (BM8), anti- CD5 (53- 7.3), anti- CD9 (MZ3), anti- CD138 (281- 2) and anti- biotin MicroBeads (Miltenyi Biotec). Nylon- filtered stained splenocytes were separated using autoMACS (Miltenyi Biotec). Purities of enriched mouse B cells were \(>98\%\) as determined by subsequent FACS analysis.
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+Flow cytometry and phospho- flow. Single- cell suspensions from mediastinal lymph nodes (medLN) were made and labeled for phenotyping as previously outlined(Doucett et al., 2005). Briefly, after Fc receptor block with anti- CD16/32 (5 mg/ml for 20 min on ice), cells were stained with the following antibody- fluorophore conjugates at temperatures and times according to manufacturer/provider: HA- PE and HA- APC oligomers (kindly provided by Dr. Frances Lund, UAB), BV786 anti- CD19 (1D3) (BD Bioscience), APC- eFluor780 anti- CD45R (RA3- 6B2), PE- Dazzle 594 anti- CD38 (90) (both Thermo Fisher), BV711 anti- CD24 (M1/69), BV605 anti- CD138 (281- 2) (both Biolegend), eFluor450 anti- GL- 7 (GL7), PE or PE/Cy7 anti- IRF4 (3E4), PerCP-
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+eFluor710 anti-IRF8 (V3GYWCH), eFluor450 anti-Ki67 (SolA15) (all Thermo Fisher), FITC anti- IgM (331, in- house), and BV650 anti- IgD (11- 26c.2a) (Biolegend). For a non- B cell "dump", the following antibodies on AlexaFluor 700 were used: anti- CD90.2, anti- CD4, anti- CD8a, anti- Gr- 1, anti- CD11b, anti- NK1.1, anti- F4/80 (all Thermo Fisher). The Foxp3 Staining Buffer Set (Thermo Fisher) was used for fixation and permeabilization of cells for staining of transcription factors according to manufacturer's protocol. For cytoplasmic only staining, Cytofix/cytoperm buffer set (BD Biosciences) was used according to manufacturer's protocol. For phospho- flow, APC anti- p- Syk (moch1ct), PerCP- eFluor710 anti- p- p38 (4NIT4KK), PE/Cy7 anti- p- mTOR (MRRBY), and PE anti- p- p65 (B33B4WP) were stained according to manufacturer's protocol (Thermo Fisher). B cells from 7 dpi medLN were sorted by flow cytometry for ELISPOT using pooled antibodies for dump channel, anti- CD19, anti- CD45R, anti- CD24, and anti- CD38. Purity of sorted cells was assessed immediately afterwards (>96%).
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+In vitro B cell cultures. Magnetically enriched B cells were cultured at \(5 \times 10^{6}\) cells/ml at 37°C. Cells were incubated with anti- IgM (Fab)2 and/or LPS in culture media at the indicated concentrations for 30 minutes, one, two, and three hours. Three- hour anti- IgM- pulsed B cells were washed twice with PBS, and then cultured in culture media containing 200 ng/mlCD40L (Peprotech) and 5 ng/ml BAFF (R&D Systems) in 96- well round- bottom plates for 48 hours at 5% CO2. Subsequent flow cytometric analysis was done using Fixable Aqua, PE anti- c- Rel (1RELAH5) (both Thermo Fisher), BV786 anti- CD19, eFluor450 anti- Ki67, PE/Cy7 anti- IRF4, PerCP- eFluor710 anti- IRF8 and APC anti- IL- 21R (4A9) (all eBioscience).
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+ELISPOT. A/PR8- specific Ig- secreting cells were measured. Briefly, ELISPOT plates were coated with 500 HAU of purified A/PR8 overnight, then blocked for non- specific binding for 1 hour. Serial dilutions of FACS- sorted EF PBs and pooled non- EF B cells were incubated overnight at 37°C. Ab- secreting cells (ASC) were revealed with goat anti- mouse IgM, IgG- biotin
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+(Southern Biotech) followed by SA- HRP (Vector Laboratories) and 3- amino- 9- ethylcarbazole (Sigma- Aldrich).
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+Nuclear fraction ELISA. c- Rel nuclear localization was measured. Briefly, nuclear and cytoplasmic protein fractions were extracted from cultured, purified B cells using NE- PER Nuclear and Cytoplasmic Extraction (Thermo Fisher) according to manufacturer's protocol. ELISA plates were coated at 4 \(\mu \mathrm{g / ml}\) dilution of polyclonal anti- c- Rel (Thermo Fisher) overnight, then blocked for non- specific binding for 1 hour. Bound c- Rel was detected using 4 \(\mu \mathrm{g / ml}\) monoclonal anti- c- Rel (1RELAH5). Binding was revealed by SA- HRP (Vector Laboratories).
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+Viral- load rtPCR. Infected mice were euthanized and lung tissue was extracted and homogenized using Gentle Macs (Miltenyi) in 1 ml PBS. Tissue was pelleted and supernatant was aliquoted and frozen. Viral RNA was purified from aliquots using the QIAamp viral RNA mini- kit (Qiagen). Presence of influenza was detected through amplification of influenza M gene using rtPCR. Primers used were AM- 151 (5'- CATGCAATGGCTAAAGACAAGACC- 3') and AM- 397 (5'- AAGTGCACCAGCAGAATAACTGAG- 3') and primer/probe AM- 245 (6FAM- 5'- CTGCAGCGTAGAGCTTTGTCAAAATG- 3'- TAMRA). Reverse transcription and amplication were done using TaqPath Multiplex Master Mix (Thermo Fisher). Samples were quantified to a standard of A/PR8 virus stock.
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+Calcium flux assay. To measure changes in cellular calcium concentrations, B cells were stained with 2 \(\mu \mathrm{M}\) cell- permeant Fluor- 3 and 4 \(\mu \mathrm{M}\) FuraRed (both Thermo Fisher) according to manufacturer's protocol and stimulated with 10 \(\mu \mathrm{g / ml}\) anti- IgM(fab)2 fragments prior to analysis by flow cytometry. The ratio of the calcium- excitable (Fluor3) and calcium- quenched (FuraRed) dyes were calculated to determine free- intracellular concentrations.
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+611 Nhu, Q.M., Shirey, K., Teijaro, J.R., Farber, D.L., Netzel- Arnett, S., Antalis, T.M., Fasano, A., and Vogel, 612 S.N. (2010). Novel signaling interactions between proteinase- activated receptor 2 and Toll- like receptors in vitro and in vivo. Mucosal Immunol 3, 29- 39. 613 Ochiai, K., Maienschein- Cline, M., Simonetti, G., Chen, J., Rosenthal, R., Brink, R., Chong, A.S., Klein, U., 614 Dinner, A.R., Singh, H., and Sciammas, R. (2013). Transcriptional regulation of germinal center B and 615 plasma cell fates by dynamical control of IRF4. Immunity 38, 918- 929. 616 Ozaki, K., Spolski, R., Feng, C.G., Qi, C.F., Cheng, J., Sher, A., Morse, H.C., 3rd, Liu, C., Schwartzberg, P.L., 617 and Leonard, W.J. (2002). A critical role for IL- 21 in regulating immunoglobulin production. Science 298, 1630- 1634. 618 Paus, D., Phan, T.G., Chan, T.D., Gardam, S., Basten, A., and Brink, R. (2006). Antigen recognition 619 strength regulates the choice between extrafollicular plasma cell and germinal center B cell 620 differentiation. J Exp Med 203, 1081- 1091. 621 Pone, E.J., Zhang, J., Mai, T., White, C.A., Li, G., Sakakura, J.K., Patel, P.J., Al- Qahtani, A., Zan, H., Xu, Z., 622 and Casali, P. (2012). BCR- signalling synergizes with TLR- signalling for induction of AID and 623 immunoglobulin class- switching through the non- canonical NF- kappaB pathway. Nat Commun 3, 767. 624 Roost, H.P., Bachmann, M.F., Haag, A., Kalinke, U., Pliska, V., Hengartner, H., and Zinkernagel, R.M. 625 (1995). Early high- affinity neutralizing anti- viral IgG responses without further overall improvements of 626 affinity. Proc Natl Acad Sci U S A 92, 1257- 1261. 627 Rothaeusler, K., and Baumgarth, N. (2010). B- cell fate decisions following influenza virus infection. Eur J 628 Immunol 40, 366- 377. 629 Roy, K., Mitchell, S., Liu, Y., Ohta, S., Lin, Y.S., Metzig, M.O., Nutt, S.L., and Hoffmann, A. (2019). A 630 Regulatory Circuit Controlling the Dynamics of NFkappaB cRel Transitions B Cells from Proliferation to 631 Plasma Cell Differentiation. Immunity 50, 616- 628 e616. 632 Sanders, C.J., Doherty, P.C., and Thomas, P.G. (2011). Respiratory epithelial cells in innate immunity to 633 influenza virus infection. Cell Tissue Res 343, 13- 21. 634 Schweighoffer, E., Nys, J., Vanes, L., Smithers, N., and Tybulewicz, V.L.J. (2017). TLR4 signals in B 635 lymphocytes are transduced via the B cell antigen receptor and SYK. J Exp Med 214, 1269- 1280. 636 Tabeta, K., Hoebe, K., Janssen, E.M., Du, X., Georgel, P., Crozat, K., Mudd, S., Mann, N., Sovath, S., 637 Goode, J., et al. (2006). The Unc93b1 mutation 3d disrupts exogenous antigen presentation and 638 signaling via Toll- like receptors 3, 7 and 9. Nat Immunol 7, 156- 164. 639 Takeuchi, O., Hoshino, K., Kawai, T., Sanjo, H., Takada, H., Ogawa, T., Takeda, K., and Akira, S. (1999). 640 Differential roles of TLR2 and TLR4 in recognition of gram- negative and gram- positive bacterial cell wall 641 components. Immunity 11, 443- 451. 642 Tian, M., Hua, Z., Hong, S., Zhang, Z., Liu, C., Lin, L., Chen, J., Zhang, W., Zhou, X., Zhang, F., et al. (2018). 643 B Cell- Intrinsic MyD88 Signaling Promotes Initial Cell Proliferation and Differentiation To Enhance the 644 Germinal Center Response to a Virus- like Particle. J Immunol 200, 937- 948. 645 Trivedi, N., Weisel, F., Smita, S., Joachim, S., Kader, M., Radhakrishnan, A., Clouser, C., Rosenfeld, A.M., 646 Chikina, M., Vigneault, F., et al. (2019). Liver Is a Generative Site for the B Cell Response to Ehrlichia 647 muris. Immunity 51, 1088- 1101 e1085. 648 Tsai, S.Y., Segovia, J.A., Chang, T.H., Morris, I.R., Berton, M.T., Tessier, P.A., Tardif, M.R., Cesaro, A., and 649 Bose, S. (2014). DAMP molecule S100A9 acts as a molecular pattern to enhance inflammation during 650 influenza A virus infection: role of DDX21- TRIF- TLR4- MyD88 pathway. PLoS Pathog 10, e1003848. 651 Wong, R., Belk, J.A., Govero, J., Uhrlaub, J.L., Reinartz, D., Zhao, H., Errico, J.M., D'Souza, L., Ripperger, 652 T.J., Nikolich- Zugich, J., et al. (2020). Affinity- Restricted Memory B Cells Dominate Recall Responses to 653 Heterologous Flaviviruses. Immunity 53, 1078- 1094. e1077. 654 Woodruff, M.C., Ramonell, R.P., Nguyen, D.C., Cashman, K.S., Saini, A.S., Haddad, N.S., Ley, A.M., Kyu, S., 655 Howell, J.C., Ozturk, T., et al. (2020). Extrafollicular B cell responses correlate with neutralizing 656 antibodies and morbidity in COVID- 19. Nat Immunol 21, 1506- 1516.
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+659 Xu, H., Chaudhri, V.K., Wu, Z., Biliouris, K., Dienger-Stambaugh, K., Rochman, Y., and Singh, H. (2015). Regulation of bifurcating B cell trajectories by mutual antagonism between transcription factors IRF4 and IRF8. Nat Immunol 16, 1274- 1281. Yamamoto, M., Sato, S., Hemmi, H., Hoshino, K., Kaisho, T., Sanjo, H., Takeuchi, O., Sugiyama, M., Okabe, M., Takeda, K., and Akira, S. (2003). Role of adaptor TRIF in the MyD88- independent toll- like receptor signaling pathway. Science 301, 640- 643.
+
+## Acknowledgements
+
+This work was supported by research grants from the NIH/NIAID, R01AI117890, R01AI085568 and U19AI109962 and an institutional NIH training grant from the NIH/NHLBI, T- 32 HL007013. We thank Ms. Zheng Luo and Jacqueline Dieter for expert technical support, Drs. Gregory Barton (UC Berkeley) and Manuela Raffatellu (UC San Diego) for mice, and Dr. Frances Lund (UAB) for HA- baits. We further thank Tracy Rourke of the California National Primate Research Center (UC Davis) for technical assistance with flow cytometry and the UC Davis TRACS personnel for animal care and husbandry.
+
+Author Contributions. J.H.L. designed and conducted experiments, analyzed data, and wrote the manuscript. N.B. designed and supervised experiments, data analysis, and wrote the manuscript.
+
+Competing Interests. No competing interests are declared by either author.
+
+<--- Page Split --->
+
+
+Figure 1. Primary influenza infection induces strong early EFRs prior to GC formation.
+
+Shown are flow cytometric analyses of mediastinal lymph nodes (medLN) from C57BL/6 mice infected with influenza A/PR8 intra- nasally (i. n.) at seven days post- infection (dpi). (a) Identification of extrafollicular plasmoblasts (EF PBs) and pre- GC/GC B cells by flow cytometry. (b) IgM and IgD expression on EF PBs, pre- GC/GC B cells, and non- EF/non- GC B cells. (c- e) C57BL/6 mice were infected and medLN were collected on the days specified, measuring B cell frequencies of total cells (c), pre- GC/GC frequency of B cells (d), EF frequency of B cells (e).
+
+<--- Page Split --->
+
+
+Figure 2. EFRs generate influenza-specific antibody-secreting cells. (a) Influenza-specific
+
+ELISPOTS of sorted EF PBs and pooled non- EF cells for total Ig (left) and IgG2c (right). (b) Flow plots of HA- specific B cells using double HA- tetramer staining. (c- e) Time course of HA- specific B cell subsets during influenza infection as in (c- e), measuring frequency of HA- specific clones (i), HA- specific pre- GC/GC clones (j), and HA- specific EF PBs (k). Graphs are representative of two experiments (n> = 3). Error bars represent 95% confidence interval (CI), statistical significance determined by unpaired Student's t- test with Welch's correction. \\*\\*: p<0.01
+
+<--- Page Split --->
+
+
+Figure 3. Subcutaneous immunization with influenza and alum does not elicit EFRs. (a-e)
+
+C57BL/6 mice were immunized s.c. with \(1 \times 10^{7}\) PFU influenza A/PR8 in alum and inguinal LNs were analyzed on days indicated. (a) Flow plots comparing immunization to infection EF and GC formation. (b) Kinetics of EF and pre- GC/GC B cells compared to infection. (c) Fold- difference of EF and GC responses compared to infection. (d) Flow plots comparing HA- specific B cell populations during immunization and infection. (e) Kinetics of total (left) and proliferating (right) HA- specific B cells compared to infection. Graphs are representative of two experiments (n=4). Error bars represent 95% CI, statistical significance determined by one- way ANOVA (b, e). \*\*\*\*: p<0.0001
+
+<--- Page Split --->
+
+
+Figure 4. Optimal EFR kinetics and protective antibodies require MyD88 and TRIF.
+
+Knockout and WT mice were infected with 10 PFU A/PR8 and medLNs were collected at 7 days post- infection (dpi). (a) Fold- difference of B cell subsets in TLR- deficient versus WT mice at 7 dpi. (b- c) Sera from influenza- infected MyD88/TRIF- deficient (DKO) mice (b) or TLR2/4/unc93b- deficient (TKO) mice (c) at 10 dpi were transferred to C57BL/6 mice prior to infection with a lethal dose (100 PFU) of influenza A/PR8 the next day. Shown is % change in weight over the course of infection. Graphs are representative of two or more experiments (n> = 3 (a), n = 10 (b,c)). Error bars represent 95% CI, statistical significance determined by one- way ANOVA (a) and unpaired Student's t- test with Welch's correction. \*: p<0.05, \*\*: p<0.01, \*\*\*: p<0.001, \*\*\*\*: p<0.0001 or indicated in subfigures.
+
+<--- Page Split --->
+
+
+Figure 5. BCR-mediated survival and proliferation are defective in the absence of TLR signaling. (a) Mixed bone-marrow chimeras (BMC) established with irradiated CD45.1 C57BL/6 host mice reconstituted with \(\mu \mathrm{MT}\) donor BM and BM from either DKO or TKO, then infected with 10 PFU A/PR8 6 weeks later. (b) Quantification of DKO and TKO BMC compared to WT BMC controls of B cell subsets at 7 dpi. (c) Pooled splenic and LN B cells from WT, DKO, or TKO B cells negatively enriched (>98% purity) were pulsed with graded levels of anti-IgM for 3 hours, then stimulated with CD40L and BAFF for 48 hours. (d) Quantification of cell viability (top) and cell proliferation (bottom). (e) Ki67+ non-EF/GC B cells in chimeras from 5 dpi. Graphs are representative of two experiments (n>/=4). Error bars represent 95% CI, statistical significance determined by one-way ANOVA and unpaired Student's t-test with Welch's correction. \*: p<0.05, \*\*: p<0.001, \*\*\*: p<0.0001.
+
+<--- Page Split --->
+
+
+Figure 6. Lack of functional TLR signaling leads to altered BCR complex dynamics and failure to upregulate IRF4. (a) Representative flow plots showing IRF4 and IRF8 expression in infected mice, highlighting clustering of EF PBs (left). Fold-difference in IRF4 and IRF8 of non-EF/GC B cells from chimeras at 5 dpi (right). (b) Pre-enrichment baseline of IRF4 and IRF8 in B cells of each strain (left) and representative IRF4 versus IRF8 flow plots from cells stimulated with indicated anti-IgM concentrations (right). Colored numbers in plots correspond to each like-colored axis. (c-d) Fold-change compared to non-stimulated WT B cells in IRF4 (c) and IRF8 expression (d) after treatment outlined in Fig. 5c. (e) Fold-change in cytoplasmic c-Rel
+
+<--- Page Split --->
+
+measured by flow cytometry after 30- minute anti- IgM or LPS treatment. (f) Fold- differences in total c- Rel expression after a 3h anti- IgM pulse and 48h culture in complete media only. Error bars represent 95% CI, statistical significance determined by one- way ANOVA and unpaired Student's t- test with Welch's correction. \*: p<0.05 \*\*: p<0.01 \*\*\*: p<0.001, \*\*\*\*: p<0.0001. Stars in (g,h) are Student's t- test comparison to respective WT control.
+
+<--- Page Split --->
+
+
+Figure 7. Sustained TLR-mediated inflammation generates strong EFRs in the draining
+
+LN after immunization. (a) Mice were immunized s.c. with or without influenza in alum and with or without LPS, then boosted with either LPS or PBS on days specified, followed by analysis of draining LN. (b) Counts of major B cell subsets. (c) Quantification of HA- specific B cell subsets as in (b). (d) Flow plots of HA- specific B cells from each regimen in terms of proliferation and plasma cell differentiation (left) and IRF4 vs IRF8 signature (right, HA- sp. highlighted in red). (e) Quantification of HA- specific EF PBs, proliferation, and relative expression of IRF4. Graphs are representative of two experiments ( \(n > / = 4\) ). Error bars represent \(95\%\) CI. Statistical significance determined by one- way ANOVA and unpaired Student's t- test with Welch's correction. \*: \(p< 0.05\) , \*\*: \(p< 0.01\) \*\*\*: \(p< 0.001\) , \*\*\*\*: \(p< 0.0001\) .
+
+<--- Page Split --->
+
+
+Figure 8. Repeated antigen exposure alone biases antigen-specific B cells towards a GC fate, requires sustained LPS exposure to polarize towards an EF fate. (a) Mice were immunized s.c. with influenza and LPS in alum, then boosted with antigen alone or antigen with LPS and LPS alone on days specified, followed by analysis of draining LN. (b-e) Quantification of total HA B cells (b), Ki67+ HA B cells (c), HA GC B cells (d) and HA EF PBs (e). (f)
+
+concentration of influenza- specific serum IgG at 10 days post- prime. (g,h) Serum from primed/boosted mice at 10 days post- prime was transferred to C57BL/6 mice prior to infection with a lethal dose (100 PFU) of influenza A/PR8 the next day. Shown is survival probability (g) and percent change in weight (h) by average (left) and individually (right) over the course of infection. Graphs are representative of two experiments (n> = 7, g, h n=10). Error bars represent 95% CI. Statistical significance determined by one- way ANOVA and unpaired Student's t- test with Welch's correction. \*: p<0.05, \*\*: p<0.01 \*\*\*: p<0.001, \*\*\*\*: p<0.0001.
+
+<--- Page Split --->
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+## Supplementary Files
+
+This is a list of supplementary files associated with this preprint. Click to download.
+
+SUPPLFIGSPlusTextFinal.pdf
+
+<--- Page Split --->
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+<|ref|>title<|/ref|><|det|>[[44, 106, 914, 208]]<|/det|>
+# Toll-like receptor mediated inflammation directs B cells towards protective antiviral extrafollicular responses
+
+<|ref|>text<|/ref|><|det|>[[44, 230, 582, 317]]<|/det|>
+Jonathan Lam Univerity of California, Davis Nicole Baumgarth ( nbaumga3@jhmi.edu ) School of Veterinary Medicine, University of California, Davis
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 360, 102, 377]]<|/det|>
+## Article
+
+<|ref|>title<|/ref|><|det|>[[44, 396, 135, 414]]<|/det|>
+# Keywords:
+
+<|ref|>text<|/ref|><|det|>[[44, 433, 352, 453]]<|/det|>
+Posted Date: November 22nd, 2022
+
+<|ref|>text<|/ref|><|det|>[[44, 472, 475, 492]]<|/det|>
+DOI: https://doi.org/10.21203/rs.3.rs- 2226474/v1
+
+<|ref|>text<|/ref|><|det|>[[44, 510, 910, 552]]<|/det|>
+License: © This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+<|ref|>text<|/ref|><|det|>[[44, 570, 530, 590]]<|/det|>
+Additional Declarations: There is NO Competing Interest.
+
+<|ref|>text<|/ref|><|det|>[[44, 626, 947, 669]]<|/det|>
+Version of Record: A version of this preprint was published at Nature Communications on July 5th, 2023. See the published version at https://doi.org/10.1038/s41467- 023- 39734- 5.
+
+<--- Page Split --->
+<|ref|>title<|/ref|><|det|>[[149, 90, 850, 110]]<|/det|>
+# Toll-like receptor mediated inflammation directs B cells towards protective
+
+<|ref|>title<|/ref|><|det|>[[339, 126, 658, 145]]<|/det|>
+# antiviral extracellular responses
+
+<|ref|>text<|/ref|><|det|>[[310, 193, 688, 212]]<|/det|>
+Jonathan H. Lam \(^{1,2}\) and Nicole Baumgarth \(^{1,2,3,4}\)
+
+<|ref|>text<|/ref|><|det|>[[150, 226, 857, 245]]<|/det|>
+\(^{1}\) Graduate Group in Immunology, \(^{2}\) Center for Immunology and Infectious Diseases, \(^{3}\) Dept.
+
+<|ref|>text<|/ref|><|det|>[[160, 259, 840, 277]]<|/det|>
+Pathology, Microbiology and Immunology, University of California Davis, Davis, USA
+
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+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 115, 877, 490]]<|/det|>
+Extrafollicular plasmablast responses (EFRs) are considered to generate antibodies of low affinity that offer little protection from infections. Paradoxically, high avidity antigen- B cell receptor engagement is thought to be the main driver of B cell differentiation, whether in EFRs or the slower- developing germinal centers (GCs). This study demonstrates that influenza infection rapidly induced EFRs generating protective antibodies in a B cell intrinsic and extrinsic Toll- like receptor (TLR)- dependent manner. B cell- intrinsic TLR signals supported antigen- stimulated B cell survival, clonal expansion, and the differentiation of B cells via induction of IRF4, the master regulator of B cell differentiation, through activation of NF- kB c- Rel. Provision of sustained TLR4 stimulation after immunization altered the fate of virus- specific B cells towards EFRs instead of GCs, accelerating rapid antibody production and improving their protective capacity over antigen/alum administration alone. Thus, inflammatory signals act as B cell fate- determinants for the rapid generation of protective, antiviral EF responses.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 130, 879, 666]]<|/det|>
+Acute respiratory tract infections induce neutralizing antibody responses that are critical for long lasting protection. Germinal center (GC) responses are considered the most effective in generating protective antibodies, as antigen- specific GC B cells undergo extensive somatic hypermutation, resulting in long- lived antibody- secreting plasma cells (ASCs) that generate high- affinity, strongly neutralizing antibodies. However, after primary influenza virus infection, GCs appear relatively late, usually after viral contraction, and thus are unlikely to contribute towards virus clearance (Lam and Baumgarth, 2019). Instead, early antibodies are produced from extracellular plasmablast responses (EFRs) that develop in the respiratory tract- draining mediastinal lymph nodes (medLN) shortly after infection and before GC formation (Rothaeusler and Baumgarth, 2010). Early studies by Gerhard and colleagues demonstrated that influenza inoculations of BALB/c mice resulted in rapid production of early hemagglutinin (HA)- specific, neutralizing IgG antibodies that were protective and in repertoire distinct from those induced later in the response (Kavaler et al., 1990). This included unmutated IgG from B cells of the prototypic HA- specific C12 idiotype, which were excluded from GCs after intra- nasal (i.n.) influenza infection (Rothaeusler and Baumgarth, 2010). This indicates that protective, germline- encoded, antigen- specific ASCs can be generated from the restrictive repertoire of inbred mice via EFRs that are temporally distinct from GCs.
+
+<|ref|>text<|/ref|><|det|>[[113, 683, 881, 896]]<|/det|>
+Addressing how these distinct B cell activation outcomes contribute to humoral immunity against acute respiratory tract virus infections, where rapid induction of immunity is a key determinant of survival, is pertinent for our understanding of the pathogenesis of these infections and the role of B cell immunity. Additionally, it is important for vaccine design. Vaccines are generally considered only successful if inducing GC- derived, long- lived plasma cells and memory B cells. However, vaccinations during the ongoing COVID- 19 pandemic or during seasonal influenza virus infections, are likely more effective if they can induce immune
+
+<--- Page Split --->
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+protection more quickly, i. e. through EFRs. The signals required for EFR induction, however, have not been resolved. Indeed, EFR induction has been considered of little consequence, as these responses are thought of as only short- lived and of low protective capacity.
+
+<|ref|>text<|/ref|><|det|>[[111, 195, 879, 664]]<|/det|>
+Yet, groundbreaking studies by the Hengartner's group over two decades ago, demonstrated that antibody responses to vaccinia stomatitis virus showed a surprising lack of changes in virus- specific serum antibody affinities over the course of infection. Instead, they demonstrated that antibodies of relatively high affinity for their cognate antigen were generated both early and late after infection (Kalinke et al., 1996; Roost et al., 1995), suggesting that following a viral infection both EFR and GC- derived antibodies might generate antibody responses of overall high affinity. These data are consistent also with reports by the Brink lab, who demonstrated using the BCR- transgenic swHEL model, that strong BCR- affinity for antigen drove the rapid proliferation and differentiation of hen egg lysozyme (HEL)- specific B cells in EFRs, while lower affinity interactions induced stronger GC responses instead (Paus et al., 2006). Generation of EFRs from high- affinity B cells is consistent also with findings that strong BCR- signaling drives upregulation of interferon regulatory factor 4 (IRF4), a critical transcriptional regulator of plasma cell development (Ochiai et al., 2013). Such a model of affinity- based induction of proliferation and differentiation would be consistent with EFRs' potential to generate high affinity antibodies.
+
+<|ref|>text<|/ref|><|det|>[[112, 684, 884, 864]]<|/det|>
+However, whether BCR- antigen interactions alone drive B cell fate decisions towards EFRs remains unknown. Furthermore, in contrast to studies indicating that highly functional antibodies emerge from EFRs, other work has shown that EFRs developing in the spleen following Salmonella typhimurium and Ehrlichia infections generate large quantities of predominantly non- specific antibodies (Di Niro et al., 2015; Trivedi et al., 2019), in support of the idea that EFR are of little protective consequence. Together, these data seem to indicate that
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 866, 141]]<|/det|>
+additional infection- induced signals shape EFRs. What these signals are, and how they might affect the functionality and protective capacity of EFR- derived antibodies, is unresolved.
+
+<|ref|>text<|/ref|><|det|>[[110, 160, 888, 860]]<|/det|>
+Work interrogating pattern recognition receptors (PPR) signaling after immunization has identified numerous effects on B cells and it is well appreciated that certain PAMPS can work as adjuvants to support vaccine responses. For example, RNA of sheep red blood cells stimulated RNA- sensing PPR mitochondrial antiviral signaling protein (MAVS) and TLR3 (Loetsch et al., 2017), that supported more robust B cell responses. Also, mice immunized with nanoparticles containing the TLR4 ligand 4'- monophosphoryl lipid A induced a more robust, antigen- specific ASC response compared to mice given antigen alone, while the combination of TLR4 and TLR7 agonists was reported to fate B cells towards early memory and germinal center responses, resulting in persistent antibody responses from bone marrow long- lived plasma cells, rather than rapid EFRs (Kasturi et al., 2011). B cell- intrinsic MyD88 signaling was shown also to increase proliferation and differentiation of plasma cells and induced expansion of Bcl6+ germinal center B cells to virus- like particles (Tian et al., 2018). And in Friend virus infection and after infection with influenza virus, B cell- intrinsic expression of TLR7 (but not TLR3) was shown to be required for germinal center formation (Browne, 2011; Heer et al., 2007). In contrast, stimulation with the TLR9 ligand CpG antagonized B cell antigen uptake and processing resulting in disruption of affinity maturation and a reduction in early- formed, antigen- specific plasma cells in the spleen, along with a reduction in long- term, antigen- specific serum IgG avidity (Akkaya et al., 2018). Observations of TLR integration with canonically distinct B cell activation pathways may play a role in the reported effects of TLR agonists on antibody responses, as TLR4 was shown to integrate with BCR signaling via the phosphorylation of syk (Schweighoffer et al., 2017), while the TLR adaptor MyD88 was shown to be critical for signaling via the B cell survival receptor TACI (He et al., 2010). Collectively, existing evidence suggests that TLR and/or MyD88-
+
+<--- Page Split --->
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+mediated signaling affects B cell responses, but how these signals integrate to regulate B cell responses remains incompletely resolved.
+
+<|ref|>text<|/ref|><|det|>[[113, 162, 875, 376]]<|/det|>
+Here we demonstrate that inflammatory signals induced by influenza infection, but not immunization with virus particles in alum, triggers the rapid generation of protective antibody responses via formation of EFRs in a TLR signaling- dependent manner. TLR- signaling fated B cells towards the EFR/plasma cell state after infection through the strong induction of IRF4 via activation of NFkB c- Rel. Similarly, sustained co- administration of LPS with virus/alum immunization rescued EFR induction after vaccination and improved antibody- mediated protection against lethal influenza challenge.
+
+<|ref|>text<|/ref|><|det|>[[115, 438, 181, 455]]<|/det|>
+Results
+
+<|ref|>text<|/ref|><|det|>[[115, 480, 819, 531]]<|/det|>
+The extracellular B cell response generates antigen- specific antibodies after intranasal influenza infection but not after peripheral immunization
+
+<|ref|>text<|/ref|><|det|>[[112, 553, 880, 864]]<|/det|>
+Intranasal infection of C57BL/6 mice resulted in the appearance of pre- GC/GC- like (GC) B cells (CD45Rhi/CD19hi/CD38lo/CD24hi) at 7 days post infection (dpi) that were also interferon regulatory factor 8 (IRF8) high, a transcription factor associated with GC polarization(Xu et al., 2015) (Fig. 1a, top). Early formed plasmaloblasts of the EFR (EF PBs) were identified as CD45Rlo/CD19+/CD38lo/CD24+ as well as IRF4- high, the latter associated with an ASC fate (Ochiai et al., 2013; Xu et al., 2015), with many also expressing CD138 (Fig. 1a, bottom), a canonical marker of ASCs. EF PBs and GC B cells both had lost surface IgD and most had lost IgM by 7 dpi (Fig. 1b), indicating a high level of class- switching. While B cell frequencies in the medLN remained relatively constant throughout the time course (Fig. 1c), drastic changes in EF and GC compartments took place. Relatively few GC B cells were found
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 88, 827, 141]]<|/det|>
+until after 9 dpi (Fig. 1d), while EF PBs were seen as early as 5 dpi, peaking at 9 dpi and contracting by 14 dpi (Fig. 1e).
+
+<|ref|>text<|/ref|><|det|>[[111, 161, 875, 504]]<|/det|>
+Only EF PBs, purified by flow cytometry, secreted pathogen- specific antibodies at 7 dpi, detected as influenza- bound total Ig and IgG2c by ELISPOT on cells (Fig. 2a), demonstrating that EF PBs contain the only functional, influenza- specific ASCs in the medLN at this timepoint. Additionally, use of two distinct fluorophore- labeled, recombinant hemagglutinin (HA) of A/PR8 identified HA- specific (HA) B cells (Fig. 2b) and their preferred participation in EF over GC B cell responses (Fig. 2c- e), with HA- bound B cells comprising as much as \(15\%\) of the EFR compartment at the early time points. The independence of EFR formation from GCs during influenza infection, suggested previously (Miyauchi et al., 2016), was confirmed with the presence of EF B cells in infected Mb- 1- Cre Bcl6 f/f mice that are unable to form GCs (Suppl. Fig. 1). Thus, EFRs are responsible for the earliest antigen- specific antibody response to influenza infection and are independent of GCs.
+
+<|ref|>text<|/ref|><|det|>[[111, 523, 880, 832]]<|/det|>
+A different B cell response quality was seen after subcutaneous (s.c.) immunization with influenza virions in alum adjuvant. Compared to infection, immunizations yielded smaller GCs and little to no EFRs in draining LN at 3, 7 and 10 dpi (Fig. 3a, b). At the antigen- dose used, GCs were only 3- fold smaller but EFRs were at least 40- fold smaller and barely detectable after immunization (Fig. 3c). Consequently, fewer HA B cells were detected over the course of immunization compared to infection (Fig. 3d, e). The HA- specific B cells that were present expressed no CD138 and only a few expressed Ki67 (Fig. 3d, e), a marker of cell cycling. Increasing the virus antigen- dose for immunization increased GC B cell numbers but had no effect on the size of the EFR (Suppl. Fig. 2). We conclude that infection- induced signals are required for EFRs to influenza.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 130, 880, 700]]<|/det|>
+To identify the influenza infection- induced signals that support EFRs, we first considered inflammatory cytokines that were previously identified as contributing towards B cell differentiation and ASC maintenance, as well as S100A9, a damage- associated molecular pattern protein produced by stressed and dying cells and released during influenza infection(Tsai et al., 2014). Among the cytokines tested, IL- 1, Type I interferons (IFN), IL- 6, and TNFα are induced early after influenza infection (Coro et al., 2006; Hayden et al., 1998; Sanders et al., 2011) and support ASCs (Aversa et al., 1993; Chatziandreuou et al., 2017; Jego et al., 2003). IL- 12 and the effector cytokine it supports, IFNγ, which is produced by T cells, NK cells, and ILC1, are known to support ASC maintenance (Dubois et al., 1998; Miyauchi et al., 2016). However, mice deficient in each of these soluble cytokines or their receptors showed EFRs similar to their wild type (WT) controls at 7 dpi (Suppl. Fig 3a). B cells are also importantly affected through innate signals received via Toll- like receptors (TLRs). Influenza pathogen- associated molecular patterns (PAMPs) activate endosomal TLR3(Le Goffic et al., 2007) and TLR7 (Diebold et al., 2004), while TLR4 has a role in infection- mediated pathology (Nhu et al., 2010). However, infection of mice lacking TLR3, TLR4, or TLR7 had no significant effects on the number of total EF PBs and CD138+ EF PBs compared to their WT controls (Suppl. Fig. 3b). Thus, individual cytokines or innate signaling receptors appeared either not necessary or redundant for EFR development.
+
+<|ref|>text<|/ref|><|det|>[[113, 720, 884, 899]]<|/det|>
+The potential for redundancy of inflammatory signals contributing to the regulation of EFRs was addressed with mice double- deficient for both TLR adaptors, TRIF (Yamamoto et al., 2003) and MyD88 (DKO), which also transduces IL- 1 and IL- 18 signaling (Adachi et al., 1998). Indeed, the DKO mice showed strongly reduced EFRs at 7 dpi (Fig. 4a). TRIF single knockouts had EFRs comparable to that of wild type. While MyD88 single knockouts EFRs were variably reduced on average, these differences did not reach statistical significance (Fig. 4a).
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 884, 333]]<|/det|>
+Importantly, while EFR- derived serum from WT mice provided robust protection against a lethal influenza virus challenge after adoptive transfer, DKO serum provided substantially reduced passive protection (Fig. 4b). Surprisingly, infection of another TLR- null model, through deletion of genes for TLR2 (Takeuchi et al., 1999), TLR4 (Hoshino et al., 1999) and a missense mutation of Unc93b (Tabeta et al., 2006) (TKO), showed EFRs similar to WT controls (Fig. 4a) and had no significant reduction in serum passive protective capacity compared to controls (Fig. 4c), despite slight reductions in CD138+ EF PBs at 7 dpi (Fig. 4a). This indicated a divergence in EFR dynamics mediated by the method of TLR abrogation.
+
+<|ref|>text<|/ref|><|det|>[[111, 355, 880, 757]]<|/det|>
+To distinguish potential B cell extrinsic from intrinsic effects of TLR signaling on EFR induction, mixed bone marrow irradiation chimeras, in which only B cells lacked either MyD88 plus TRIF (DKO BMC) or all TLRs (TKO BMC), were infected with influenza and analyzed at 7 dpi (Fig. 5a). Both the DKO and the TKO BMCs showed reduced EF and GC responses compared to WT chimera controls (Fig. 5b). The data indicate the importance of B cell intrinsic MyD88/TRIF and TLR signaling in regulating B cell responses overall. The differences in EF responses between the BMC and the total TLR- null chimeras is likely due to their differences in virus clearance. While virus titers at 10 dpi were no different between control and TLR- null BMC (Suppl. Fig. 4a), global DKO and TKO mice showed higher viral loads compared to wild type (Suppl. Fig 4b). These higher virus titers correlated with significantly larger EFRs in TLR- null mice (Suppl. Fig. 4c). Thus, B cell- intrinsic TLR signaling support early EFR formation, while additional B cell- extrinsic inflammatory signals, further drive EFR generation in a manner that correlates with pathogen burden,
+
+<|ref|>text<|/ref|><|det|>[[112, 825, 592, 843]]<|/det|>
+B cell intrinsic TLRs support B cell proliferation and survival
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 870, 400]]<|/det|>
+To assess the direct effects of TLR signaling on B cell dynamics, negatively enriched naive, follicular B cells were cultured with graded doses of anti- IgM (Fab) \(_2\) and LPS, BCR and TLR agonists, respectively. Anti- IgM plus LPS co- treatment modestly enhanced viability compared to LPS alone and strongly supported B cell proliferation, as indicated by increased Ki67 expression compared to either treatment alone (Suppl. Fig. 5a, b). Co- stimulation also strongly induced IRF4 and IRF8, critical transcriptional regulators of the B cell fate (Suppl. Fig. 5c, d), while anti- IgM enhanced (and LPS inhibited) induction of IL21R expression, a cytokine receptor required for the generation of ASCs (Ozaki et al., 2002) (Suppl. Fig. 5e). Taken together, intrinsic TLR stimulation enhanced BCR- induced B cell entry into the cell cycle, promoted cell survival, and along with BCR signaling, maintained expression of IL21R.
+
+<|ref|>text<|/ref|><|det|>[[111, 417, 875, 889]]<|/det|>
+Canonical TLR signaling is known to integrate with the BCR (Pone et al., 2012; Schweighoffer et al., 2017) and with TNF superfamily receptors (He et al., 2010), suggesting that TLR signaling- deficient B cells are altered not only in their response to TLR agonists, but also to signals induced via the BCR, or via co- stimulation through CD40 or BAFFR. Indeed, stimulation of naive, follicular DKO and TKO B cells pulsed with anti- IgM(Fab) \(_2\) for three hours, followed by incubation with CD40L and BAFF for 48 hours (Fig. 5c) showed reduced viability (Fig. 5d top) and a near inability to enter the cell cycle, as measured by Ki67 staining (Fig. 5d, bottom), compared to WT controls. MyD88 and TRIF single KO B cells showed reductions in survival (Suppl. Fig. 6a) and proliferation (Suppl. Fig. 6b) similar to each other with frequencies approximately half between those of WT and DKO B cells, indicating that TRIF, along with MyD88, support BCR- mediated activation signals in a non- redundant, additive manner. Similar results were obtained with BCR- stimulation alone (Suppl. Fig 6c, d), demonstrating participation of the TLR signaling axis in antigen- mediated activation. Consistent with these data, analysis of non- EF/GC B cells from influenza infected DKO and TKO B cell chimeras revealed significantly reduced expression of Ki67 ex vivo, compared to controls at 5
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 88, 877, 237]]<|/det|>
+dpi, when IRF4 is highest within this uncommitted population during infection (Fig. 5e and not shown). Among the few HA-specific B cells present in DKO and TKO chimeras at this timepoint fewer expressed Ki67 (Suppl. Fig. 7). Thus, lack of antigen mediated integrated TLR signaling significantly reduced B cell survival and cell cycle entry consistent with earlier reports (Schweighoffer et al., 2017).
+
+<|ref|>text<|/ref|><|det|>[[112, 300, 872, 351]]<|/det|>
+Lack of functional TLR signaling leads to abnormal BCR complex dynamics and transcriptional control
+
+<|ref|>text<|/ref|><|det|>[[112, 373, 880, 714]]<|/det|>
+BCR- mediated calcium flux, an immediate readout of BCR crosslinking, was comparable between WT, DKO or TKO B cells (Suppl. Fig. 8a), indicating that TLR- null B cells were not merely defective overall. Effector protein phosphorylation downstream of the BCR showed minor pre- treatment differences (Suppl. Fig. 8b), but activation of mitogenic pathway MAPK p38 (Khiem et al., 2008) and the pro- inflammatory NFkB1 (Liu et al., 1991) also were roughly similar following BCR stimulation for 30 min (Suppl. Fig. 8c, d). Somewhat surprisingly, Syk phosphorylation, a major activation node for several BCR- mediated signaling pathways (Kurosaki et al., 1994), and phosphorylation of the pro- growth regulator mTOR (Donahue and Fruman, 2007) were increased in TLR- signaling deficient B cells compared to WT (Supp. Fig. 8e, f). Together, these data indicate that TLR signaling defects have little effects on early induction of IgM- BCR mediated signal transduction pathways.
+
+<|ref|>text<|/ref|><|det|>[[112, 735, 884, 885]]<|/det|>
+In contrast, the absence of TLR signaling led to enhanced surface IgD expression in HA- specific B cells in vivo compared to controls (Suppl. Fig. 9a). Indeed, loss of surface IgD after anti- IgM plus BAFF/CD40L stimulation was strongly attenuated in DKO and TKO B cells relative to WT (Suppl. Fig. 9b). Along with the enhanced induction of cell death and the inability to proliferate to antigen- mediated activation, despite apparently normal early downstream BCR
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 89, 870, 140]]<|/det|>
+signal transduction, TLR- signaling deficient B cells resembled anergic B cells (Goodnow et al., 1988).
+
+<|ref|>text<|/ref|><|det|>[[111, 163, 883, 536]]<|/det|>
+IRF4 is upregulated proportionately to BCR signaling strength (Ochiai et al., 2013). Consistent with that, ex vivo analysis of EF plasmablasts showed their distinct higher expression of IRF4 and intermediate expression of IRF8 compared to non- EFR B cells (Fig. 6a, left). While ex vivo baseline levels of IRF4 in naive B cells were similar between the strains (Fig. 6b, left), non- differentiated B cells from DKO and TKO chimeras expressed significantly less IRF4 and IRF8 than WT at 5 dpi (Fig. 6a, right), indicating defects in IRF4 upregulation just before nascent EFRs form. In vitro IgM- BCR stimulation increased IRF4 and IRF8 expression in B cells from WT mice in an anti- IgM dose- dependent manner in the presence of CD40L and BAFF (Fig. 6b right, Fig. 6c). Strikingly, B cells from DKO and TKO mice failed to upregulate IRF4 under these conditions (Fig. 6b right, Fig. 6c), while IRF8 expression remained similar in all strains (Fig. 6b right, Fig. 6d). The data thus indicate defective BCR- mediated IRF4 induction in the absence of TLRs.
+
+<|ref|>text<|/ref|><|det|>[[112, 556, 881, 899]]<|/det|>
+NF- kB c- Rel is known to promote IRF4 expression upon nuclear re- localization and is downstream of both BCR and TLR4 (Grumont and Gerondakis, 2000). Strong, BCR dose- dependent stimulation- induced reductions in cytoplasmic c- Rel, inferring translocation of c- Rel to the nucleus, were seen in WT but much less so in TLR- signaling deficient B cells by flow cytometry as early as 30 min post stimulation (Fig. 6e, Suppl. Fig. 10a). Consistent with that result, WT but not DKO nor TKO B cells showed significant accumulation of c- Rel in the nucleus 1h but not 2h after anti- IgM and LPS stimulation, as assessed by ELISA on isolated nuclear- fractions (Suppl. Fig. 10b, c), concomitant with significant increases in total c- Rel expression (Suppl. Fig 10d). However, this delayed normalization in BCR- induced c- Rel expression was short- lived, as sustained c- Rel expression, which is associated with initialization of the B cell differentiation program (Roy et al., 2019), remained drastically lower in B cells lacking TLR-
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[113, 88, 870, 204]]<|/det|>
+signaling than in WT B cells 48h after anti- IgM pulse (Fig. 6f). Thus, even in the absence of deliberate addition of a TLR agonist, B cells require the presence of TLRs for proper activation of the c- Rel circuitry and for the long- term maintenance of c- Rel expression in response to antigen- mediated stimulation.
+
+<|ref|>text<|/ref|><|det|>[[115, 268, 725, 288]]<|/det|>
+Reconstitution of EFRs during influenza immunization through LPS adjuvant
+
+<|ref|>text<|/ref|><|det|>[[111, 303, 888, 875]]<|/det|>
+Since both B cell- intrinsic and - extrinsic TLR signals influenced EFR magnitude and kinetics, we tested whether LPS, a TLR4 agonist that initiates both MyD88 and TRIF signaling, could overcome the lack of EFRs induction after s.c. immunization with influenza virions in alum (Fig. 3). Indeed, C57BL/6 mice inoculated with influenza in alum plus LPS and provided with repeated LPS boosts thereafter (Ag+LPS; Fig. 7a), showed increased total B cells, GC B cells, and EF PBs compared to mice receiving influenza in alum alone (Ag Only) (Fig. 7b). Importantly, the number of HA- binding B cells were twice as high than in mice receiving antigen/alum alone (Fig. 7c), with several- fold increases of HA B cells in the EFR but not GC compartment (Fig. 7c). Thus, indicating that TLR activation not only increased expansion of antigen- specific B cells but preferentially shunted them towards an EFR fate. HA B cells from Ag+LPS mice were mostly positive for Ki67 and CD138, IRF4hi IRF8int., similar to EF PBs from influenza- infected mice (Fig. 7d, e). This level of EFR polarization was not seen in Ag Only mice (Fig. 7d, e). HA B cells from Ag+LPS immunized mice also showed improved survival compared to Ag Only mice (Suppl. Fig. 11a), consistent with results seen after infection, where HA- specific B cells from DKO and TKO mice showed much lower ratios of live/dead cells compared to those of WT mice (Suppl. Fig. 11b). Thus, sustained TLR- mediated inflammation in the presence of antigen leads to greater expansion of antigen- specific B cells and polarizes them towards the EFR fate.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 876, 494]]<|/det|>
+Recent reports suggest that increased antigen valency (Kato et al., 2020) and antigen availability (Glaros et al., 2021) bias B cells towards a plasmablast fate. Given the above results, we asked how B cell fate dynamics and EFR- derived antibody functionality is affected by repeated antigen exposure with or without TLR agonist provision. For that, all mice were primed with influenza and LPS to ensure equivalent initiation of LN activation (Denton et al., 2022), followed by two additional boosts with antigen alone (Ag Boosted), or antigen plus LPS (Ag+LPS Boosted) or LPS alone (LPS Boosted) as a control (Fig. 8a). Both Ag Boosted and Ag+LPS Boosted mice had similar frequencies of HA B cells in the draining LN (Fig. 8b), and similar frequencies Ki67+ cells (Fig. 8c). However, HA B cells from Ag Boosted mice significantly polarized towards a GC fate (Fig. 8d), while HA B cells from Ag+LPS Boosted mice polarized significantly towards EFRs (Fig. 8e), indicating that despite repeated antigen inoculations, continued TLR stimulation was required for B cell development towards an EFR fate.
+
+<|ref|>text<|/ref|><|det|>[[111, 504, 879, 844]]<|/det|>
+Ag+LPS Boosted mice had the highest levels of serum anti- influenza antibodies (Fig. 8f), demonstrating that increased EFRs correlated with enhanced antigen- specific antibody responses compared to a GC- biased response at 10 days post- prime. To determine whether the increased in IgG levels correlated with increased serum passive protective capacity, pooled serum from each boosted group was transferred to naive animals, who were subsequently challenged with a lethal dose of influenza. Mice receiving Ag+LPS Boosted serum showed no mortality, in contrast to mice receiving Ag Boosted or LPS Boosted serum (Fig. 8g). Moreover, mice that received serum from Ag+LPS Boosted mice lost significantly less weight overall than mice receiving serum from Ag Boosted animals (Fig. 8h). Together, these data demonstrate that sustained TLR- mediated inflammation polarizes antigen- specific B cells towards the EFR, leading to faster and stronger increases in protective, antigen- specific serum antibodies.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 131, 871, 343]]<|/det|>
+These studies demonstrate that TLR- mediated inflammatory signals direct antigen- specific B cells towards the formation of ASCs through EFRs and that EFR- derived antibodies induced after both influenza infection and following LPS- boosted immunization are functionally protective. Thus, EFRs triggered and supported by inflammatory stimuli can provide a high quality antibody response at a fraction of the time relative to GCs by taking a more direct route to becoming ASCs, forming actively secreting, hemagglutinin- specific plasmalasts during the first 7- 14 days of influenza infection prior to formation of GCs.
+
+<|ref|>text<|/ref|><|det|>[[112, 355, 875, 888]]<|/det|>
+EFR development seems to be driven by specificities already present in the repertoire at the time of infection, including in a naive repertoire (Kalinke et al., 1996; Paus et al., 2006; Roost et al., 1995). In support, high affinity interactions between the BCR and its cognate antigen can drive a B cell effector fate, while lower affinity interactions confers a predisposition for the GC (Paus et al., 2006). However, the presence of high avidity B cells alone unlikely explains B cell fate decisions, as we show here that GC formation dominated early B cell responses to influenza immunization, while EFR dominated responses after influenza infection in the same inbred mice. If antigen- BCR affinity alone drives polarization towards an ASC fate, then the presence of antigen alone, assuming optimal delivery, stability, etc., should have resulted in an appreciable expansion of the same high affinity clones into the EFR than we saw after infection. Together, the data presented here demonstrate the need for infection- induced inflammation as a critical addition that supports EFR development. Inflammation affected EFR induction in an intrinsic manner, as functional Toll- like receptor (TLR) signaling axes either through MyD88/TRIF or TLR2/4/Unc93b induced optimal activation of the NF- kB c- Rel:IRF4 pathway (Suppl. Fig 12, top), as well as in an extrinsic manner, where TLR- mediated inflammation drove expansion of antigen- specific B cells into the EFR over the GC (Suppl. Fig 12, bottom), perhaps through alterations of the LN stromal compartment (Denton et al., 2022).
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 886, 880]]<|/det|>
+TLR stimulation leads to the activation of multiple gene programs, but a defect in NF- kB c- Rel nuclear localization and upregulation after BCR stimulation was specifically observed in DKO and TKO B cells, along with suboptimal survival and the inability to proliferate or induce IRF4 expression. Additionally, the TLR adaptor TRIF, which has not been shown previously to influence BCR- mediated activation, was demonstrated here to contribute equally and non- redundantly with MyD88 towards B cell survival and proliferation after anti- IgM treatment. The observed defect in IRF4 upregulation in TLR- null B cells is consistent with previous studies demonstrating the dependence of IRF4 induction on c- Rel nuclear translocation after both, TLR4 and BCR activation (Grumont and Gerondakis, 2000). Delayed normalization of BCR- mediated c- Rel localization in TLR- null B cells did occur two hours after initial stimulation. Given that c- Rel has multiple c- terminal phosphorylation sites (Harris et al., 2006), perhaps TLR components are required for an optimal phosphorylation signature in addition to release of c- Rel from IkBs. Indeed, it was observed that the regulatory activity of c- Rel carrying a truncated c- terminus was severely altered, despite functional dimerization, nuclear localization, and DNA binding (Carrasco et al., 1998). Therefore, ablation of a functional TLR axis may dictate the nuclear activity of c- Rel, while maintaining localization potential. Further work is needed to determine how TLRs affect phosphorylation of the c- terminal trans- activation domain of c- Rel and how specific gene regulation is altered in their absence. Additionally, while total c- Rel levels did increase after 48 hours in TLR- null B cells, they were still significantly below levels observed in respective WT controls at every concentration of anti- IgM treatment measured. Therefore, IRF4 and c- Rel expression correlate and reaching a certain threshold of c- Rel seems required for the optimal induction of IRF4 in B cells. Indeed, c- Rel dominates the NF- kB program of B cells after antigen- mediated activation (Roy et al., 2019), potentiating an activated clone for several rounds of proliferation and enabling access to genes associated with terminal differentiation into plasma cells.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 90, 876, 910]]<|/det|>
+Vaccination with antigen in alum, whether used as a prime or a boost, led to an expansion of antigen- specific clones primarily within the GC compartment, generating protracted serum antibody responses that were less protective at early times after immunization compared to the EFR dominated responses generated via antigen plus TLR agonist boosting. This suggests that increasing antigen valency (Kato et al., 2020) and/or amounts (Glaros et al., 2021) alone have a limited capacity to direct B cells towards early plasmablast responses following vaccinations, in contrast to vaccines adjuvanted with TLR agonists. The question that remains to be resolved is whether a drive towards EFR comes at the cost of effective GC- induced humoral immunity. Indeed, a recent study noted that TLR activation can worsen the quality of antigen- specific antibody responses due to a lack of GC- mediated affinity maturation (Akkaya et al., 2018), measuring a hallmark anti- hapten antibody response, where antibody affinity for the hapten increases over time as GCs mature and affinity maturation takes place (Foote and Milstein, 1991). However, increases in serum antibody affinities over time were not observed following infection with vesicular stomatitis virus (Kalinke et al., 1996; Roost et al., 1995) and high affinity, germline- encoded antibodies to hemagglutinin were induced early after influenza inoculation (Kavaler et al., 1990). Thus, the level of EFR- derived antibody avidity is contextual and relies on the inherent specificities of the host's pre- infection repertoire, while the initiation, kinetics, and magnitude of the EFR rely on TLR- mediated inflammatory signals. The data are consistent with findings that memory B cells upon reactivation preferentially form EFR rather than enter GCs, even during heterotypic responses (Wong et al., 2020). Given the predominance of inflammatory signals during acute infection, this allows for antigen- specific B cells to be shunted into EFR for rapid production of protective antibodies to infections. The data also provide a mechanistic explanation for the association of EFRs with severe COVID- 19 infection (Woodruff et al., 2020), and increased EFR- derived auto- antibody production with chronic inflammation, where a positive feed- forward loop may induce antibody- mediated pathology, driving enhanced inflammation, and thus further supporting ongoing EFRs. Even
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 88, 870, 238]]<|/det|>
+when the host may carry a highly restricted BCR repertoire, TLR activation may allow for EFR- derived antibodies of low affinity to contribute towards protection, without which these antibodies' respective B cell clones would not reach the threshold of differentiation, nor activation. We conclude that B cell response fates are critically regulated by the innate, inflammatory milieu during antigen encounter.
+
+<|ref|>sub_title<|/ref|><|det|>[[112, 301, 210, 319]]<|/det|>
+## METHODS
+
+<|ref|>text<|/ref|><|det|>[[111, 333, 872, 516]]<|/det|>
+Mice. Male and female 8- to 12- wk- old C57BL/6 (WT; CD45.2), B6. SJL- Ptprca Pepcb/BoyJ (CD45.1), B cell- deficient (μMT) mice as well as tNFAR1/2 KO, IFN- gamma KO, IL- 12 KO, CD19- Cre IFNAR KO, IL- 1R KO, TLR3 KO, TLR4 KO, TLR7 KO were commercially obtained (The Jackson Laboratories). Breeding pairs of MyD88/TRIF DKO and TLR2/4/unc93b TKO mouse strains were gifts from Dr. Barton (UC Berkeley). Breeding pairs of S100A9 KO mice were a kind gift of Dr. Rafatellu (UC San Diego).
+
+<|ref|>text<|/ref|><|det|>[[111, 536, 875, 715]]<|/det|>
+Mixed bone marrow (BM) chimeras were generated by adoptively transferring 5x \(10^{6}\) total mixed BM cells from slgM- deficient (CD45.2, \(75\%\) ) and either C57BL/6 (WT; CD45.2), MyD88/TRIF double knockout (CD45.2), or TLR4/TLR2/Unc93b triple knockout (CD45.2) BM (25%) into 5- 6 week- old B6. SJL- Ptprca Pepcb/BoyJ (CD45.1) mice, lethally irradiated by exposure to a gamma irradiation source 24 h prior to transfer. Chimeras were rested for at least 6 weeks before infection and analysis.
+
+<|ref|>text<|/ref|><|det|>[[112, 737, 875, 888]]<|/det|>
+Infections, and immunizations. Mice were anesthetized with isoflurane and infected intranasally with a sublethal dose (10 PFU/ml) of influenza A/Puerto Rico/8/34 (A/PR8) in 40 μl volumes in PBS. Virus was grown in hen eggs as previously outlined (Doucett et al., 2005) and each virus batch was titrated for its effect on mice prior to use. Specifically, sublethal infection doses were chosen that incurred no more than 20% weight loss. For immunizations, mice were
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 88, 881, 174]]<|/det|>
+inoculated subcutaneously with \(1 \times 10^{7}\) PFU A/PR8 in a 50:50 alum to PBS mixture. For some experiments immunizations were supplemented with \(3 \mu g\) LPS, or mice were in addition boosted repeatedly with \(1 \times 10^{6}\) PFU A/PR8 and \(3 \mu g\) LPS in PBS or PBS alone as indicated.
+
+<|ref|>text<|/ref|><|det|>[[112, 229, 884, 409]]<|/det|>
+Adoptive serum transfer for passive protection. Indicated strains of mice were infected with 10 PFU A/PR8. Blood from terminally anesthetized mice at 10 dpi was collected via cardiac puncture and spun down for serum separation. Serum from each strain was pooled and naïve C57BL/6 mice were subsequently injected i.v. with a mixture of \(50 \mu l\) pooled serum and \(150 \mu l\) 1x PBS. These mice were then inoculated i.n. with 100 PFU A/PR8 one day later and measured for weight loss.
+
+<|ref|>text<|/ref|><|det|>[[112, 430, 880, 642]]<|/det|>
+Magnetic B cell enrichment. Splenic B cells were treated with Fc Block (anti- mouse CD16/32, clone 2.4. G2) and were then enriched using a mixture of biotinylated Abs (anti- CD90.2 (30- H12), anti- CD4 (GK1.5), anti- CD8a (53- 6.7), anti- Gr- 1 (RB6- 8C5), anti- CD11b (M1/70), anti- NK1.1 (PK136), anti- F4/80 (BM8), anti- CD5 (53- 7.3), anti- CD9 (MZ3), anti- CD138 (281- 2) and anti- biotin MicroBeads (Miltenyi Biotec). Nylon- filtered stained splenocytes were separated using autoMACS (Miltenyi Biotec). Purities of enriched mouse B cells were \(>98\%\) as determined by subsequent FACS analysis.
+
+<|ref|>text<|/ref|><|det|>[[112, 664, 881, 909]]<|/det|>
+Flow cytometry and phospho- flow. Single- cell suspensions from mediastinal lymph nodes (medLN) were made and labeled for phenotyping as previously outlined(Doucett et al., 2005). Briefly, after Fc receptor block with anti- CD16/32 (5 mg/ml for 20 min on ice), cells were stained with the following antibody- fluorophore conjugates at temperatures and times according to manufacturer/provider: HA- PE and HA- APC oligomers (kindly provided by Dr. Frances Lund, UAB), BV786 anti- CD19 (1D3) (BD Bioscience), APC- eFluor780 anti- CD45R (RA3- 6B2), PE- Dazzle 594 anti- CD38 (90) (both Thermo Fisher), BV711 anti- CD24 (M1/69), BV605 anti- CD138 (281- 2) (both Biolegend), eFluor450 anti- GL- 7 (GL7), PE or PE/Cy7 anti- IRF4 (3E4), PerCP-
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 88, 880, 462]]<|/det|>
+eFluor710 anti-IRF8 (V3GYWCH), eFluor450 anti-Ki67 (SolA15) (all Thermo Fisher), FITC anti- IgM (331, in- house), and BV650 anti- IgD (11- 26c.2a) (Biolegend). For a non- B cell "dump", the following antibodies on AlexaFluor 700 were used: anti- CD90.2, anti- CD4, anti- CD8a, anti- Gr- 1, anti- CD11b, anti- NK1.1, anti- F4/80 (all Thermo Fisher). The Foxp3 Staining Buffer Set (Thermo Fisher) was used for fixation and permeabilization of cells for staining of transcription factors according to manufacturer's protocol. For cytoplasmic only staining, Cytofix/cytoperm buffer set (BD Biosciences) was used according to manufacturer's protocol. For phospho- flow, APC anti- p- Syk (moch1ct), PerCP- eFluor710 anti- p- p38 (4NIT4KK), PE/Cy7 anti- p- mTOR (MRRBY), and PE anti- p- p65 (B33B4WP) were stained according to manufacturer's protocol (Thermo Fisher). B cells from 7 dpi medLN were sorted by flow cytometry for ELISPOT using pooled antibodies for dump channel, anti- CD19, anti- CD45R, anti- CD24, and anti- CD38. Purity of sorted cells was assessed immediately afterwards (>96%).
+
+<|ref|>text<|/ref|><|det|>[[111, 481, 870, 725]]<|/det|>
+In vitro B cell cultures. Magnetically enriched B cells were cultured at \(5 \times 10^{6}\) cells/ml at 37°C. Cells were incubated with anti- IgM (Fab)2 and/or LPS in culture media at the indicated concentrations for 30 minutes, one, two, and three hours. Three- hour anti- IgM- pulsed B cells were washed twice with PBS, and then cultured in culture media containing 200 ng/mlCD40L (Peprotech) and 5 ng/ml BAFF (R&D Systems) in 96- well round- bottom plates for 48 hours at 5% CO2. Subsequent flow cytometric analysis was done using Fixable Aqua, PE anti- c- Rel (1RELAH5) (both Thermo Fisher), BV786 anti- CD19, eFluor450 anti- Ki67, PE/Cy7 anti- IRF4, PerCP- eFluor710 anti- IRF8 and APC anti- IL- 21R (4A9) (all eBioscience).
+
+<|ref|>text<|/ref|><|det|>[[112, 747, 881, 864]]<|/det|>
+ELISPOT. A/PR8- specific Ig- secreting cells were measured. Briefly, ELISPOT plates were coated with 500 HAU of purified A/PR8 overnight, then blocked for non- specific binding for 1 hour. Serial dilutions of FACS- sorted EF PBs and pooled non- EF B cells were incubated overnight at 37°C. Ab- secreting cells (ASC) were revealed with goat anti- mouse IgM, IgG- biotin
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[113, 88, 857, 140]]<|/det|>
+(Southern Biotech) followed by SA- HRP (Vector Laboratories) and 3- amino- 9- ethylcarbazole (Sigma- Aldrich).
+
+<|ref|>text<|/ref|><|det|>[[112, 153, 879, 333]]<|/det|>
+Nuclear fraction ELISA. c- Rel nuclear localization was measured. Briefly, nuclear and cytoplasmic protein fractions were extracted from cultured, purified B cells using NE- PER Nuclear and Cytoplasmic Extraction (Thermo Fisher) according to manufacturer's protocol. ELISA plates were coated at 4 \(\mu \mathrm{g / ml}\) dilution of polyclonal anti- c- Rel (Thermo Fisher) overnight, then blocked for non- specific binding for 1 hour. Bound c- Rel was detected using 4 \(\mu \mathrm{g / ml}\) monoclonal anti- c- Rel (1RELAH5). Binding was revealed by SA- HRP (Vector Laboratories).
+
+<|ref|>text<|/ref|><|det|>[[112, 344, 880, 618]]<|/det|>
+Viral- load rtPCR. Infected mice were euthanized and lung tissue was extracted and homogenized using Gentle Macs (Miltenyi) in 1 ml PBS. Tissue was pelleted and supernatant was aliquoted and frozen. Viral RNA was purified from aliquots using the QIAamp viral RNA mini- kit (Qiagen). Presence of influenza was detected through amplification of influenza M gene using rtPCR. Primers used were AM- 151 (5'- CATGCAATGGCTAAAGACAAGACC- 3') and AM- 397 (5'- AAGTGCACCAGCAGAATAACTGAG- 3') and primer/probe AM- 245 (6FAM- 5'- CTGCAGCGTAGAGCTTTGTCAAAATG- 3'- TAMRA). Reverse transcription and amplication were done using TaqPath Multiplex Master Mix (Thermo Fisher). Samples were quantified to a standard of A/PR8 virus stock.
+
+<|ref|>text<|/ref|><|det|>[[112, 631, 881, 780]]<|/det|>
+Calcium flux assay. To measure changes in cellular calcium concentrations, B cells were stained with 2 \(\mu \mathrm{M}\) cell- permeant Fluor- 3 and 4 \(\mu \mathrm{M}\) FuraRed (both Thermo Fisher) according to manufacturer's protocol and stimulated with 10 \(\mu \mathrm{g / ml}\) anti- IgM(fab)2 fragments prior to analysis by flow cytometry. The ratio of the calcium- excitable (Fluor3) and calcium- quenched (FuraRed) dyes were calculated to determine free- intracellular concentrations.
+
+<--- Page Split --->
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+517 Adachi, O., Kawai, T., Takeda, K., Matsumoto, M., Tsutsui, H., Sakagami, M., Nakanishi, K., and Akira, S. 518 (1998). Targeted disruption of the MyD88 gene results in loss of IL- 1- and IL- 18- mediated function. 519 Immunity 9, 143- 150. 520 Akkaya, M., Akkaya, B., Kim, A.S., Miozzo, P., Sohn, H., Pena, M., Roesler, A.S., Theall, B.P., Henke, T., 521 Kabat, J., et al. (2018). Toll- like receptor 9 antagonizes antibody affinity maturation. Nat Immunol 19, 225- 266. 522 Aversa, G., Punnonen, J., and de Vries, J.E. (1993). The 26- kD transmembrane form of tumor necrosis 523 factor alpha on activated CD4+ T cell clones provides a costimulatory signal for human B cell activation. J 525 Exp Med 177, 1575- 1585. 526 Browne, E.P. (2011). Toll- like receptor 7 controls the anti- retroviral germinal center response. PLoS 527 Pathog 7, e1002293. 528 Carrasco, D., Cheng, J., Lewin, A., Warr, G., Yang, H., Rizzo, C., Rosas, F., Snapper, C., and Bravo, R. 529 (1998). Multiple hemopoietic defects and lymphoid hyperplasia in mice lacking the transcriptional 530 activation domain of the c- Rel protein. J Exp Med 187, 973- 984. 531 Chatziandreou, N., Farsakoglu, Y., Palomino- Segura, M., D'Antuono, R., Pizzagalli, D.U., Sallusto, F., 532 Lukacs- Kornek, V., Uguccioni, M., Corti, D., Turley, S.J., et al. (2017). Macrophage Death following 533 Influenza Vaccination Initiates the Inflammatory Response that Promotes Dendritic Cell Function in the 534 Draining Lymph Node. Cell Rep 18, 2427- 2440. 535 Coro, E.S., Chang, W.L., and Baumgarth, N. (2006). Type I IFN receptor signals directly stimulate local B 536 cells early following influenza virus infection. J Immunol 176, 4343- 4351. 537 Denton, A.E., Dooley, J., Cinti, I., Silva- Cayetano, A., Fra- Bido, S., Innocentin, S., Hill, D.L., Carr, E.J., 538 McKenzie, A.N.J., Liston, A., and Linternan, M.A. (2022). Targeting TLR4 during vaccination boosts 539 MAdCAM- 1(+) lymphoid stromal cell activation and promotes the aged germinal center response. Sci 540 Immunol 7, eabk0018. 541 Di Niro, R., Lee, S.J., Vander Heiden, J.A., Elsner, R.A., Trivedi, N., Bannock, J.M., Gupta, N.T., Kleinstein, 542 S.H., Vigneault, F., Gilbert, T.J., et al. (2015). Salmonella Infection Drives Promiscuous B Cell Activation 543 Followed by Extrafollicular Affinity Maturation. Immunity 43, 120- 131. 544 Diebold, S.S., Kaisho, T., Hemmi, H., Akira, S., and Reis e Sousa, C. (2004). Innate antiviral responses by 545 means of TLR7- mediated recognition of single- stranded RNA. Science 303, 1529- 1531. 546 Donahue, A.C., and Fruman, D.A. (2007). Distinct signaling mechanisms activate the target of rapamycin 547 in response to different B- cell stimuli. Eur J Immunol 37, 2923- 2936. 548 Doucett, V.P., Gerhard, W., Owler, K., Curry, D., Brown, L., and Baumgarth, N. (2005). Enumeration and 549 characterization of virus- specific B cells by multicolor flow cytometry. J Immunol Methods 303, 40- 52. 550 Dubois, B., Massacrier, C., Vanbervliet, B., Fayette, J., Briere, F., Banchereau, J., and Caux, C. (1998). 551 Critical role of IL- 12 in dendritic cell- induced differentiation of naive B lymphocytes. J Immunol 161, 5223- 2231. 552 Foote, J., and Milstein, C. (1991). Kinetic maturation of an immune response. Nature 352, 530- 532. 553 Glaros, V., Rauschmeier, R., Artemov, A.V., Reinhardt, A., Ols, S., Emmanouilidi, A., Gustafsson, C., You, 554 Y., Mirabello, C., Bjorklund, A.K., et al. (2021). Limited access to antigen drives generation of early B cell 555 memory while restraining the plasmablast response. Immunity 54, 2005- 2023 e2010. 556 Goodwin, C.C., Crosbie, J., Adelstein, S., Lavoie, T.B., Smith- Gill, S.J., Brink, R.A., Pritchard- Briscoe, H., 557 Wotherspoon, J.S., Loblay, R.H., Raphael, K., and et al. (1988). Altered immunoglobulin expression and 558 functional silencing of self- reactive B lymphocytes in transgenic mice. Nature 334, 676- 682. 559 Grumont, R.J., and Gerondakis, S. (2000). Rel induces interferon regulatory factor 4 (IRF- 4) expression in 560 lymphocytes: modulation of interferon- regulated gene expression by rel/nuclear factor kappaB. J Exp 561 Med 191, 1281- 1292.
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+563 Harris, J., Olière, S., Sharma, S., Sun, Q., Lin, R., Hiscott, J., and Grandvaux, N. (2006). Nuclear 564 accumulation of cRel following C-terminal phosphorylation by TBK1/IKK epsilon. J Immunol 177, 2527- 565 2535. 566 Hayden, F.G., Fritz, R., Lobo, M.C., Alvord, W., Strober, W., and Straus, S.E. (1998). Local and systemic 567 cytokine responses during experimental human influenza A virus infection. Relation to symptom 568 formation and host defense. J Clin Invest 101, 643- 649. 569 He, B., Santamaria, R., Xu, W., Cols, M., Chen, K., Puga, I., Shan, M., Xiong, H., Bussel, J.B., Chiu, A., et al. 570 (2010). The transmembrane activator TACI triggers immunoglobulin class switching by activating B cells 571 through the adaptor MyD88. Nat Immunol 11, 836- 845. 572 Heer, A.K., Shamshiev, A., Donda, A., Uematsu, S., Akira, S., Kopf, M., and Marsland, B.J. (2007). TLR 573 signaling fine- tunes anti- influenza B cell responses without regulating effector T cell responses. J 574 Immunol 178, 2182- 2191. 575 Hoshino, K., Takeuchi, O., Kawai, T., Sanjo, H., Ogawa, T., Takeda, Y., Takeda, K., and Akira, S. (1999). 576 Cutting edge: Toll- like receptor 4 (TLR4)- deficient mice are hyporesponsive to lipopolysaccharide: 577 evidence for TLR4 as the Lps gene product. J Immunol 162, 3749- 3752. 578 Jego, G., Palucka, A.K., Blanck, J.- P., Chalouni, C., Pascual, V., and Banchereau, J. (2003). Plasmacytoid 579 Dendritic Cells Induce Plasma Cell Differentiation through Type I Interferon and Interleukin 6. Immunity 580 19, 225- 234. 581 Kalinke, U., Bucher, E.M., Ernst, B., Oxenius, A., Roost, H.P., Geley, S., Kofler, R., Zinkernagel, R.M., and 582 Hengartner, H. (1996). The role of somatic mutation in the generation of the protective humoral 583 immune response against vesicular stomatitis virus. Immunity 5, 639- 652. 584 Kasturi, S.P., Skountzou, I., Albrecht, R.A., Koutsonanos, D., Hua, T., Nakaya, H.I., Ravindran, R., Stewart, 585 S., Alam, M., Kwissa, M., et al. (2011). Programming the magnitude and persistence of antibody 586 responses with innate immunity. Nature 470, 543- 547. 587 Kato, Y., Abbott, R.K., Freeman, B.L., Haupt, S., Groschel, B., Silva, M., Menis, S., Irvine, D.J., Schief, W.R., 588 and Crotty, S. (2020). Multifaceted Effects of Antigen Valency on B Cell Response Composition and 589 Differentiation In Vivo. Immunity 53, 548- 563 e548. 590 Kavaler, J., Caton, A.J., Staudt, L.M., Schwartz, D., and Gerhard, W. (1990). A set of closely related 591 antibodies dominates the primary antibody response to the antigenic site CB of the A/PR/8/34 influenza 592 virus hemagglutinin. J Immunol 145, 2312- 2321. 593 Khiem, D., Cyster, J.G., Schwarz, J.J., and Black, B.L. (2008). A p38 MAPK- MEF2C pathway regulates B- cell 594 proliferation. Proc Natl Acad Sci U S A 105, 17067- 17072. 595 Kurosaki, T., Takata, M., Yamanashi, Y., Inazu, T., Taniguchi, T., Yamamoto, T., and Yamamura, H. (1994). 596 Syk activation by the Src- family tyrosine kinase in the B cell receptor signaling. J Exp Med 179, 1725- 597 1729. 598 Lam, J.H., and Baumgarth, N. (2019). The Multifaceted B Cell Response to Influenza Virus. J Immunol 599 202, 351- 359. 600 Le Goffic, R., Pothlichet, J., Vitour, D., Fujita, T., Meurs, E., Chignard, M., and Si- Tahar, M. (2007). Cutting 601 Edge: Influenza A virus activates TLR3- dependent inflammatory and RIG- I- dependent antiviral responses 602 in human lung epithelial cells. J Immunol 178, 3368- 3372. 603 Liu, J.L., Chiles, T.C., Sen, R.J., and Rothstein, T.L. (1991). Inducible nuclear expression of NF- kappa B in 604 primary B cells stimulated through the surface Ig receptor. J Immunol 146, 1685- 1691. 605 Loetsch, C., Warren, J., Laskowski, A., Vazquez- Lombardi, R., Jandl, C., Langley, D.B., Christ, D., Thorburn, 606 D.R., Ryugo, D.K., Sprent, J., et al. (2017). Cytosolic Recognition of RNA Drives the Immune Response to 607 Heterologous Erythrocytes. Cell Rep 21, 1624- 1638. 608 Miyauchi, K., Sugimoto- Ishige, A., Harada, Y., Adachi, Y., Usami, Y., Kaji, T., Inoue, K., Hasegawa, H., 609 Watanabe, T., Hijikata, A., et al. (2016). Protective neutralizing influenza antibody response in the 610 absence of T follicular helper cells. Nat Immunol 17, 1447- 1458.
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+611 Nhu, Q.M., Shirey, K., Teijaro, J.R., Farber, D.L., Netzel- Arnett, S., Antalis, T.M., Fasano, A., and Vogel, 612 S.N. (2010). Novel signaling interactions between proteinase- activated receptor 2 and Toll- like receptors in vitro and in vivo. Mucosal Immunol 3, 29- 39. 613 Ochiai, K., Maienschein- Cline, M., Simonetti, G., Chen, J., Rosenthal, R., Brink, R., Chong, A.S., Klein, U., 614 Dinner, A.R., Singh, H., and Sciammas, R. (2013). Transcriptional regulation of germinal center B and 615 plasma cell fates by dynamical control of IRF4. Immunity 38, 918- 929. 616 Ozaki, K., Spolski, R., Feng, C.G., Qi, C.F., Cheng, J., Sher, A., Morse, H.C., 3rd, Liu, C., Schwartzberg, P.L., 617 and Leonard, W.J. (2002). A critical role for IL- 21 in regulating immunoglobulin production. Science 298, 1630- 1634. 618 Paus, D., Phan, T.G., Chan, T.D., Gardam, S., Basten, A., and Brink, R. (2006). Antigen recognition 619 strength regulates the choice between extrafollicular plasma cell and germinal center B cell 620 differentiation. J Exp Med 203, 1081- 1091. 621 Pone, E.J., Zhang, J., Mai, T., White, C.A., Li, G., Sakakura, J.K., Patel, P.J., Al- Qahtani, A., Zan, H., Xu, Z., 622 and Casali, P. (2012). BCR- signalling synergizes with TLR- signalling for induction of AID and 623 immunoglobulin class- switching through the non- canonical NF- kappaB pathway. Nat Commun 3, 767. 624 Roost, H.P., Bachmann, M.F., Haag, A., Kalinke, U., Pliska, V., Hengartner, H., and Zinkernagel, R.M. 625 (1995). Early high- affinity neutralizing anti- viral IgG responses without further overall improvements of 626 affinity. Proc Natl Acad Sci U S A 92, 1257- 1261. 627 Rothaeusler, K., and Baumgarth, N. (2010). B- cell fate decisions following influenza virus infection. Eur J 628 Immunol 40, 366- 377. 629 Roy, K., Mitchell, S., Liu, Y., Ohta, S., Lin, Y.S., Metzig, M.O., Nutt, S.L., and Hoffmann, A. (2019). A 630 Regulatory Circuit Controlling the Dynamics of NFkappaB cRel Transitions B Cells from Proliferation to 631 Plasma Cell Differentiation. Immunity 50, 616- 628 e616. 632 Sanders, C.J., Doherty, P.C., and Thomas, P.G. (2011). Respiratory epithelial cells in innate immunity to 633 influenza virus infection. Cell Tissue Res 343, 13- 21. 634 Schweighoffer, E., Nys, J., Vanes, L., Smithers, N., and Tybulewicz, V.L.J. (2017). TLR4 signals in B 635 lymphocytes are transduced via the B cell antigen receptor and SYK. J Exp Med 214, 1269- 1280. 636 Tabeta, K., Hoebe, K., Janssen, E.M., Du, X., Georgel, P., Crozat, K., Mudd, S., Mann, N., Sovath, S., 637 Goode, J., et al. (2006). The Unc93b1 mutation 3d disrupts exogenous antigen presentation and 638 signaling via Toll- like receptors 3, 7 and 9. Nat Immunol 7, 156- 164. 639 Takeuchi, O., Hoshino, K., Kawai, T., Sanjo, H., Takada, H., Ogawa, T., Takeda, K., and Akira, S. (1999). 640 Differential roles of TLR2 and TLR4 in recognition of gram- negative and gram- positive bacterial cell wall 641 components. Immunity 11, 443- 451. 642 Tian, M., Hua, Z., Hong, S., Zhang, Z., Liu, C., Lin, L., Chen, J., Zhang, W., Zhou, X., Zhang, F., et al. (2018). 643 B Cell- Intrinsic MyD88 Signaling Promotes Initial Cell Proliferation and Differentiation To Enhance the 644 Germinal Center Response to a Virus- like Particle. J Immunol 200, 937- 948. 645 Trivedi, N., Weisel, F., Smita, S., Joachim, S., Kader, M., Radhakrishnan, A., Clouser, C., Rosenfeld, A.M., 646 Chikina, M., Vigneault, F., et al. (2019). Liver Is a Generative Site for the B Cell Response to Ehrlichia 647 muris. Immunity 51, 1088- 1101 e1085. 648 Tsai, S.Y., Segovia, J.A., Chang, T.H., Morris, I.R., Berton, M.T., Tessier, P.A., Tardif, M.R., Cesaro, A., and 649 Bose, S. (2014). DAMP molecule S100A9 acts as a molecular pattern to enhance inflammation during 650 influenza A virus infection: role of DDX21- TRIF- TLR4- MyD88 pathway. PLoS Pathog 10, e1003848. 651 Wong, R., Belk, J.A., Govero, J., Uhrlaub, J.L., Reinartz, D., Zhao, H., Errico, J.M., D'Souza, L., Ripperger, 652 T.J., Nikolich- Zugich, J., et al. (2020). Affinity- Restricted Memory B Cells Dominate Recall Responses to 653 Heterologous Flaviviruses. Immunity 53, 1078- 1094. e1077. 654 Woodruff, M.C., Ramonell, R.P., Nguyen, D.C., Cashman, K.S., Saini, A.S., Haddad, N.S., Ley, A.M., Kyu, S., 655 Howell, J.C., Ozturk, T., et al. (2020). Extrafollicular B cell responses correlate with neutralizing 656 antibodies and morbidity in COVID- 19. Nat Immunol 21, 1506- 1516.
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+659 Xu, H., Chaudhri, V.K., Wu, Z., Biliouris, K., Dienger-Stambaugh, K., Rochman, Y., and Singh, H. (2015). Regulation of bifurcating B cell trajectories by mutual antagonism between transcription factors IRF4 and IRF8. Nat Immunol 16, 1274- 1281. Yamamoto, M., Sato, S., Hemmi, H., Hoshino, K., Kaisho, T., Sanjo, H., Takeuchi, O., Sugiyama, M., Okabe, M., Takeda, K., and Akira, S. (2003). Role of adaptor TRIF in the MyD88- independent toll- like receptor signaling pathway. Science 301, 640- 643.
+
+<|ref|>sub_title<|/ref|><|det|>[[116, 234, 288, 252]]<|/det|>
+## Acknowledgements
+
+<|ref|>text<|/ref|><|det|>[[111, 264, 876, 485]]<|/det|>
+This work was supported by research grants from the NIH/NIAID, R01AI117890, R01AI085568 and U19AI109962 and an institutional NIH training grant from the NIH/NHLBI, T- 32 HL007013. We thank Ms. Zheng Luo and Jacqueline Dieter for expert technical support, Drs. Gregory Barton (UC Berkeley) and Manuela Raffatellu (UC San Diego) for mice, and Dr. Frances Lund (UAB) for HA- baits. We further thank Tracy Rourke of the California National Primate Research Center (UC Davis) for technical assistance with flow cytometry and the UC Davis TRACS personnel for animal care and husbandry.
+
+<|ref|>text<|/ref|><|det|>[[115, 520, 857, 604]]<|/det|>
+Author Contributions. J.H.L. designed and conducted experiments, analyzed data, and wrote the manuscript. N.B. designed and supervised experiments, data analysis, and wrote the manuscript.
+
+<|ref|>text<|/ref|><|det|>[[115, 648, 712, 668]]<|/det|>
+Competing Interests. No competing interests are declared by either author.
+
+<--- Page Split --->
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+<|ref|>image_caption<|/ref|><|det|>[[115, 424, 855, 444]]<|/det|>
+Figure 1. Primary influenza infection induces strong early EFRs prior to GC formation.
+
+<|ref|>text<|/ref|><|det|>[[112, 455, 880, 636]]<|/det|>
+Shown are flow cytometric analyses of mediastinal lymph nodes (medLN) from C57BL/6 mice infected with influenza A/PR8 intra- nasally (i. n.) at seven days post- infection (dpi). (a) Identification of extrafollicular plasmoblasts (EF PBs) and pre- GC/GC B cells by flow cytometry. (b) IgM and IgD expression on EF PBs, pre- GC/GC B cells, and non- EF/non- GC B cells. (c- e) C57BL/6 mice were infected and medLN were collected on the days specified, measuring B cell frequencies of total cells (c), pre- GC/GC frequency of B cells (d), EF frequency of B cells (e).
+
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+<|ref|>image_caption<|/ref|><|det|>[[111, 465, 875, 485]]<|/det|>
+Figure 2. EFRs generate influenza-specific antibody-secreting cells. (a) Influenza-specific
+
+<|ref|>text<|/ref|><|det|>[[111, 495, 876, 707]]<|/det|>
+ELISPOTS of sorted EF PBs and pooled non- EF cells for total Ig (left) and IgG2c (right). (b) Flow plots of HA- specific B cells using double HA- tetramer staining. (c- e) Time course of HA- specific B cell subsets during influenza infection as in (c- e), measuring frequency of HA- specific clones (i), HA- specific pre- GC/GC clones (j), and HA- specific EF PBs (k). Graphs are representative of two experiments (n> = 3). Error bars represent 95% confidence interval (CI), statistical significance determined by unpaired Student's t- test with Welch's correction. \\*\\*: p<0.01
+
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+<|ref|>image_caption<|/ref|><|det|>[[112, 448, 880, 468]]<|/det|>
+Figure 3. Subcutaneous immunization with influenza and alum does not elicit EFRs. (a-e)
+
+<|ref|>text<|/ref|><|det|>[[112, 479, 881, 725]]<|/det|>
+C57BL/6 mice were immunized s.c. with \(1 \times 10^{7}\) PFU influenza A/PR8 in alum and inguinal LNs were analyzed on days indicated. (a) Flow plots comparing immunization to infection EF and GC formation. (b) Kinetics of EF and pre- GC/GC B cells compared to infection. (c) Fold- difference of EF and GC responses compared to infection. (d) Flow plots comparing HA- specific B cell populations during immunization and infection. (e) Kinetics of total (left) and proliferating (right) HA- specific B cells compared to infection. Graphs are representative of two experiments (n=4). Error bars represent 95% CI, statistical significance determined by one- way ANOVA (b, e). \*\*\*\*: p<0.0001
+
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+<|ref|>image_caption<|/ref|><|det|>[[115, 598, 816, 618]]<|/det|>
+Figure 4. Optimal EFR kinetics and protective antibodies require MyD88 and TRIF.
+
+<|ref|>text<|/ref|><|det|>[[111, 628, 884, 905]]<|/det|>
+Knockout and WT mice were infected with 10 PFU A/PR8 and medLNs were collected at 7 days post- infection (dpi). (a) Fold- difference of B cell subsets in TLR- deficient versus WT mice at 7 dpi. (b- c) Sera from influenza- infected MyD88/TRIF- deficient (DKO) mice (b) or TLR2/4/unc93b- deficient (TKO) mice (c) at 10 dpi were transferred to C57BL/6 mice prior to infection with a lethal dose (100 PFU) of influenza A/PR8 the next day. Shown is % change in weight over the course of infection. Graphs are representative of two or more experiments (n> = 3 (a), n = 10 (b,c)). Error bars represent 95% CI, statistical significance determined by one- way ANOVA (a) and unpaired Student's t- test with Welch's correction. \*: p<0.05, \*\*: p<0.01, \*\*\*: p<0.001, \*\*\*\*: p<0.0001 or indicated in subfigures.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[180, 90, 825, 560]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[112, 572, 881, 911]]<|/det|>
+Figure 5. BCR-mediated survival and proliferation are defective in the absence of TLR signaling. (a) Mixed bone-marrow chimeras (BMC) established with irradiated CD45.1 C57BL/6 host mice reconstituted with \(\mu \mathrm{MT}\) donor BM and BM from either DKO or TKO, then infected with 10 PFU A/PR8 6 weeks later. (b) Quantification of DKO and TKO BMC compared to WT BMC controls of B cell subsets at 7 dpi. (c) Pooled splenic and LN B cells from WT, DKO, or TKO B cells negatively enriched (>98% purity) were pulsed with graded levels of anti-IgM for 3 hours, then stimulated with CD40L and BAFF for 48 hours. (d) Quantification of cell viability (top) and cell proliferation (bottom). (e) Ki67+ non-EF/GC B cells in chimeras from 5 dpi. Graphs are representative of two experiments (n>/=4). Error bars represent 95% CI, statistical significance determined by one-way ANOVA and unpaired Student's t-test with Welch's correction. \*: p<0.05, \*\*: p<0.001, \*\*\*: p<0.0001.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[122, 85, 876, 620]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[112, 660, 880, 904]]<|/det|>
+Figure 6. Lack of functional TLR signaling leads to altered BCR complex dynamics and failure to upregulate IRF4. (a) Representative flow plots showing IRF4 and IRF8 expression in infected mice, highlighting clustering of EF PBs (left). Fold-difference in IRF4 and IRF8 of non-EF/GC B cells from chimeras at 5 dpi (right). (b) Pre-enrichment baseline of IRF4 and IRF8 in B cells of each strain (left) and representative IRF4 versus IRF8 flow plots from cells stimulated with indicated anti-IgM concentrations (right). Colored numbers in plots correspond to each like-colored axis. (c-d) Fold-change compared to non-stimulated WT B cells in IRF4 (c) and IRF8 expression (d) after treatment outlined in Fig. 5c. (e) Fold-change in cytoplasmic c-Rel
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 872, 235]]<|/det|>
+measured by flow cytometry after 30- minute anti- IgM or LPS treatment. (f) Fold- differences in total c- Rel expression after a 3h anti- IgM pulse and 48h culture in complete media only. Error bars represent 95% CI, statistical significance determined by one- way ANOVA and unpaired Student's t- test with Welch's correction. \*: p<0.05 \*\*: p<0.01 \*\*\*: p<0.001, \*\*\*\*: p<0.0001. Stars in (g,h) are Student's t- test comparison to respective WT control.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[135, 88, 860, 590]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[112, 600, 880, 620]]<|/det|>
+Figure 7. Sustained TLR-mediated inflammation generates strong EFRs in the draining
+
+<|ref|>text<|/ref|><|det|>[[111, 630, 881, 900]]<|/det|>
+LN after immunization. (a) Mice were immunized s.c. with or without influenza in alum and with or without LPS, then boosted with either LPS or PBS on days specified, followed by analysis of draining LN. (b) Counts of major B cell subsets. (c) Quantification of HA- specific B cell subsets as in (b). (d) Flow plots of HA- specific B cells from each regimen in terms of proliferation and plasma cell differentiation (left) and IRF4 vs IRF8 signature (right, HA- sp. highlighted in red). (e) Quantification of HA- specific EF PBs, proliferation, and relative expression of IRF4. Graphs are representative of two experiments ( \(n > / = 4\) ). Error bars represent \(95\%\) CI. Statistical significance determined by one- way ANOVA and unpaired Student's t- test with Welch's correction. \*: \(p< 0.05\) , \*\*: \(p< 0.01\) \*\*\*: \(p< 0.001\) , \*\*\*\*: \(p< 0.0001\) .
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[115, 88, 878, 496]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[112, 508, 875, 560]]<|/det|>
+Figure 8. Repeated antigen exposure alone biases antigen-specific B cells towards a GC fate, requires sustained LPS exposure to polarize towards an EF fate. (a) Mice were immunized s.c. with influenza and LPS in alum, then boosted with antigen alone or antigen with LPS and LPS alone on days specified, followed by analysis of draining LN. (b-e) Quantification of total HA B cells (b), Ki67+ HA B cells (c), HA GC B cells (d) and HA EF PBs (e). (f)
+
+<|ref|>text<|/ref|><|det|>[[112, 572, 880, 878]]<|/det|>
+concentration of influenza- specific serum IgG at 10 days post- prime. (g,h) Serum from primed/boosted mice at 10 days post- prime was transferred to C57BL/6 mice prior to infection with a lethal dose (100 PFU) of influenza A/PR8 the next day. Shown is survival probability (g) and percent change in weight (h) by average (left) and individually (right) over the course of infection. Graphs are representative of two experiments (n> = 7, g, h n=10). Error bars represent 95% CI. Statistical significance determined by one- way ANOVA and unpaired Student's t- test with Welch's correction. \*: p<0.05, \*\*: p<0.01 \*\*\*: p<0.001, \*\*\*\*: p<0.0001.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[44, 42, 312, 70]]<|/det|>
+## Supplementary Files
+
+<|ref|>text<|/ref|><|det|>[[44, 93, 765, 113]]<|/det|>
+This is a list of supplementary files associated with this preprint. Click to download.
+
+<|ref|>text<|/ref|><|det|>[[60, 130, 343, 149]]<|/det|>
+SUPPLFIGSPlusTextFinal.pdf
+
+<--- Page Split --->
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@@ -0,0 +1,323 @@
+
+# Deep learning shows declining groundwater levels in Germany until 2100 due to climate change
+
+Andreas Wunsch ( \(\circledcirc\) andreas.wunsch@kit.edu) Karlsruhe Institute of Technology https://orcid.org/0000- 0002- 0585- 9549
+
+Tanja Liesch Karlsruhe Institute of Technology
+
+Stefan Broda Federal Institute for Geosciences and Natural Resources
+
+## Article
+
+Keywords: climate change, groundwater resources, machine learning, groundwater levels
+
+Posted Date: April 22nd, 2021
+
+DOI: https://doi.org/10.21203/rs.3.rs- 420056/v1
+
+License: \(\circledcirc\) 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 Nature Communications on March 9th, 2022. See the published version at https://doi.org/10.1038/s41467- 022- 28770- 2.
+
+<--- Page Split --->
+
+## Abstract
+
+In this study we investigate how climate change will directly influence the groundwater resources in Germany during the 21st century. We apply a machine learning groundwater level prediction framework, based on convolutional neural networks to 118 sites well distributed over Germany to assess the groundwater level development under the RCP8.5 scenario, based on six selected climate projections, which represent \(80\%\) of the bandwidth of the possible future climate signal for Germany. We consider only direct meteorological inputs, while highly uncertain anthropogenic factors such as groundwater extractions are excluded. We detected significant declining trends of groundwater levels for most of the sites, revealing a spatial pattern of stronger decreases especially in the northern and eastern part of Germany, emphasizing already existing decreasing trends in these regions. We can further show an increased variability and longer periods of low groundwater levels during the annual cycle towards the end of the century.
+
+## Introduction
+
+Climate change is increasingly altering water availability even in generally water- rich areas like Germany, where overall water stress is currently low1. Nevertheless, hot and dry summers in recent years (especially 2018- 2020) led to ongoing exceptional droughts2,3 with severe consequences for agriculture and ecology, such as drought damages in forests, reduced crop yields and extreme low flows in rivers. Drought effects accumulated over years, because winter precipitation did not compensate summer deficits. This applies not only, but especially to groundwater resources, which are of major importance since drinking water supply in Germany is strongly dependent on groundwater and springs (almost \(70\%\) )4. Declining groundwater levels due to generally reduced groundwater recharge and higher water demand in summer, regionally forced water suppliers to exploit their current maximum capacity during dry periods to meet the demand; locally even water supply shortages occurred. During future dry periods strong usage conflicts can be expected in areas of low water availability between water suppliers and industry (process and cooling water), additionally amplified by increasing agricultural irrigation demand, which currently has only minor significance with less than \(2\%\) of the total withdrawal volume1. Knowledge of future groundwater level development, especially in the long- term, is therefore crucial to develop sustainable groundwater management plans to meet future demands, solve usage conflicts and protect ecosystems.
+
+Climate change affects groundwater in several direct and indirect ways5. Major direct drivers are changes in precipitation, snowmelt and evapotranspiration6. For Germany, climate projections show opposing trends in terms of water availability, with a slight increase in annual precipitation sums, i.e. more water, but at the same time a significant temperature increase of several degrees Celsius by \(2100^{34,35}\) , i.e. less water. The effect on groundwater resources is therefore not directly clear and needs to be analyzed. For Europe in general, higher precipitation is generally expected during winter, which in combination with a generally decreasing amount of snow, thus increasing direct infiltration, leads to higher groundwater recharge during winter and less in spring. Especially for snow dominated regions this might cause changes of seasonality6. Weather extremes are expected to intensify, therefore longer droughts and more frequent intense rainfall events will occur5. Generally higher temperatures cause higher atmospheric water demand, thus increasing evapotranspiration, leading to less infiltration and therefore less groundwater recharge. Especially unconfined, shallow aquifers are most
+
+<--- Page Split --->
+
+likely to be sensitive to direct climate change effects7. Indirect climate change influences on groundwater are mostly related to anthropogenic groundwater withdrawals or associated with land- use changes5. It is known that the groundwater storage reduction caused by pumping could easily far exceed natural recharge6,8. The impact of these factors will be exacerbated as water demand increases to meet the needs of regionally growing population (mainly due to growing urban areas), industry and agricultural irrigation.
+
+In recent years, artificial neural network (ANN) approaches have proven their usefulness in predicting groundwater levels9- 14, even using a highly transferable approach with purely climatic input parameters (e.g. ref15). In a previous study15 we showed that 1D- Convolution Neural Networks (CNNs) are a good choice for groundwater level simulation, as they can provide high accuracy and furthermore are fast and reliable. Unlike physically- based models, which usually require a very good knowledge of local conditions and need to be time- consumingly built and calibrated, data- driven models such as ANNs are able to predict a target variable using only relevant driving forces. This makes studies on larger areas easier and is therefore the method of choice for this study. To the authors' knowledge, no comprehensive direct evaluation of groundwater level development until 2100 exists for Germany yet. Besides a rather old small- scale study16 also a regional- scale study for the Danube basin has been conducted to date17. The latter uses several dynamically- coupled, process- based model components and the authors found strongly declining groundwater levels with declines of up to 10 m close to the Alps in southernmost Germany for their scenario period (2036- 2060). Further, several studies investigated future groundwater recharge in different contexts for subregions of Germany using mainly water balance models or process- based models17- 22. Furthermore, the application of ANNs to study groundwater level development in the long- term and in the context of climate change for a larger area like Germany has not been performed yet. Related studies with applications of ANNs either used a very small number of wells23- 25 and limited time horizons23,24 or use ANNs without directly presenting future climate signals to the ANN25. In case of streamflow runoff simulation, however, ANNs have been successfully applied to analyze the future development under climate change influences in several catchments all over California26 as well as two catchments in China27,28.
+
+In this study we use a 1D- CNN approach29 to build 118 site- specific models, well distributed all over Germany in the respective uppermost unconfined aquifer, which are able to predict weekly groundwater levels with high accuracy using only precipitation and temperature as inputs in the past. We visually check the model output plausibility under an artificial extreme climate scenario26 and investigate how the model has learned input- output relationships using an explainable AI approach (SHAP30). We then use the trained CNN models to investigate the future groundwater level development for the selected sites, using precipitation and temperature derived from the RCP8.5 scenario31 of bias- corrected and downscaled (5 x 5 km2) climate projection data32 from six climate models as inputs. These six climate models were preselected by the German Meteorological Service to represent 80% of the possible future climate signal ("core- ensemble")33 for Germany. Table 1 lists these projections, which are part of the EURO- CORDEX Ensemble and assigns them an abbreviation that will be used as a synonym in the remaining part of the paper. As we use purely climatic input parameters we can only project the influence of direct climate change effects, while secondary, most certainly stronger indirect effects, such as increased groundwater pumping, are not included in this study. However, due to high prediction accuracy in the past, the selected sites are unlikely to be under the influence of strong groundwater
+
+<--- Page Split --->
+
+withdrawals or comparable effects, and are therefore suitable for predicting that part of the future groundwater level trend that results from direct climatic influences, as long as the basic input- output relationships remain unchanged.
+
+Table 1: Climate projections used in this study and according abbreviations used throughout the text. For more information on the models please visit https://www.euro-cordex.net/.
+
+| Projection | Abbrev. |
| CCCma-CanE SM2_rcp85_r1i1p1_CLMcom-CCLM4-8-17 | p1 |
| ICHEC-EC-EARTH_rcp85_r1i1p1_KNMI-RACMO22E | p2 |
| MIROC-MIROC5_rcp85_r1i1p1_GERICS-REMO2015 | p3 |
| MOHC-HadGEM2-E5_rcp85_r1i1p1_CLMcom-CCLM4-8-17 | p4 |
| MPI-M-MPI-ESM-LR_rcp85_r1i1p1_UHOI-WRF361H | p5 |
| MPI-M-MPI-ESM-LR_rcp85_r2i1p1_MPI-CSC-REMO2009 | p6 |
+
+Generally, climate projections show a slight increase in precipitation sums and a significant temperature increase of several degrees Celsius for Germany by \(2100^{34,35}\) , exact values depending on the scenario considered \(^{35}\) . Figure 1 shows the change of total annual precipitation (A1- A3) and annual average temperature (B1- B3) for each of the climate projections used in this study in 2100, compared to the start of our investigation in 2014. The change is derived from a linear trend analyses at the 118 sites, that are subject to further investigations in this study. Boxplots (A2, B2) show only significant ( \(p < 0.05\) ) changes, according numbers are shown in subplots A3 and B3, further, the order within subplots A1 and B1 does not correspond to the numbering of the projections but to the strength and direction of the trend. We see that many projections of total annual precipitation do not show any significant trend and are therefore marked in grey (especially p2, p4 and p5, s.a. Figure 1- A3). However, for almost all sites we observe significant declines of up to - 450 mm per year for p1, but at the same time increases of up to 296 mm per year for p3 and especially p6. Some projections are therefore diverging until 2100 in terms of precipitation sums, which shows that we cover a large range of a possible climate signal under the RCP8.5 scenario. Despite many non- significant trends, a spatial pattern of significant changes with a decreasing tendency in northwestern Germany and less clear increasing tendency in eastern Germany is visible. Strongest decreases are projected to occur in southernmost Germany; however, especially in southern but also in eastern areas two opposing trends usually occur at one site, so the development is not unambiguous. Compared to precipitation sums, the development of the annual average temperature is more consistent for all projections. Overall, temperature increases between \(2.4^{\circ}C\) and \(5.8^{\circ}C\) occur. On average, p1 shows the strongest increases, followed by p4. Together with the decreasing precipitation sums, p1 therefore shows the probably most challenging development in terms of water availability compared to the other projections used in this study. Spatially, we observe lighter temperature increases in north- western Germany, which most certainly is linked to a buffer effect near the coast.
+
+## Results
+
+## Individual projection results
+
+For each of the examined 118 test sites, we simulated the future weekly groundwater level development based on six climate projections (s.a. Table 1). Since these climate projections differ considerably in detail for individual future time periods, we also obtained six different future groundwater level simulations, which should only be interpreted on the basis of longer time periods (at least 30 years) \(^{36}\) . Figure 2 depicts the trend
+
+<--- Page Split --->
+
+as the relative development in percent of the annual mean for each of the six projections (A) as well as the annual upper extreme (97.5%) quantile (B) and the annual lower extreme (2.5%) quantile (D) for all test sites in 2100, compared to the start of the simulation (2014) and normalized on the individual historic range as explained in the methods section. For each site, all relative developments are shown ordered by the strength of the change, the order does therefore not correspond to the numbering of the projections. The given boxplots in Figure 2C provide more detailed information for the three maps as well as on the development of the 25% and the 75% quantiles, relative and absolute values of the presented changes are given in Table 2. The values of the non- significant trends are not shown in the boxplots, which has to be kept in mind for interpretation, especially for quantiles with many non- significant trends (compare Table 2).
+
+In case of the mean, approximately 54% of all simulations (387 of 708, i.e. six projections for each of the 118 sites) show a significant trend until 2100. At least one of the projected developments is always considered significant (p<0.05) for each site, which, however, also means that there are several sites with mainly non- significant trends (grey). The large majority of the significant trends is negative with a median ranging between - 23% in case of p1 and - 6.6% in case of p6 (Table 2). In Figure 2C we observe that p1 systematically shows the strongest declines until 2100, being significant for 117 of the 118 wells. The overall maximum decline is - 46%, clearly indicating the different character of p1 compared to the other projections. Especially projections p3- p5 show more moderate changes of the mean (median ranges from - 8% to - 13%), with many non- significant trends (35%- 54%). Simulations based on p2 and p6 only find significant trends for around 30% of all sites and additionally are moderate in their significant results. Three projections (p2, p3, but mainly p6, compare Table 2) even show some positive developments until 2100, however overall, such developments are rare and occur at sites, where other projections simultaneously show at least non- significant or even negative trends. In absolute numbers the mentioned median changes are in the order of - 0.1 m to - 0.4 m, which is highly dependent on the individual groundwater level range at each site. Despite many non- significant and some positive trends, there is a clear tendency of declining mean groundwater levels until 2100. Additionally, we can observe a slight spatial tendency with more and stronger significant negative trends in some areas of northern and eastern Germany, where we also find the strongest overall relative declines. In southern Germany many wells show several non- significant trends and also most positive changes can be found scattered in this region, however, some of the southernmost wells show very strong declines for single simulations, comparably to the strong declines in eastern Germany.
+
+In case of the upper extreme value quantile (97.5%) this spatial pattern is partly confirmed. In Figure 2B we clearly observe many significant declines in eastern Germany, while the large majority (>70%) of the trends in whole Germany is considered to be non- significant. Increasing trends are found comparably often for the 97.5% quantiles, with increases up to 20%. Comparing the projections with each other (Figure 2C), we find a similar behavior as before: p1 shows the strongest significant decreases (down to - 47%), p3, p4 and p5 tend to move in the moderate negative range (medians around - 12%), while p2 and p6 more often show positive trends (positive medians of the significant trends). We therefore observe partly a contradictory development of the upper extreme values compared to the mean. The absolute numbers of the mentioned changes again are in the order of few tens of centimeters upwards and downwards. The strongest simulated absolute increase (max. of p6) is almost 5 meters, however, in a karstic well in southern Germany, which has a high variability anyway.
+
+<--- Page Split --->
+
+The tendency of declining groundwater levels we observed for the mean, gets clearer for the lower extreme values (2.5% quantile) shown in Figure 2D. We still observe 36% non-significant trends, however the remaining 65% show almost exclusively negative changes with a maximum decline of -81% (Table 2). The median change of the 2.5% quantile of all projections ranges between -38% for p1, which again shows the strongest declines, followed by p4 (-21%), as well as p2, p3, p5 and p6 with a median change around -10% each. The latter four, and especially of them p6, contain the majority of non-significant trends, the changes shown in the boxplots therefore tend to be overestimated. There are only few sites where only one result is considered significant. These occur mainly near the Baltic Sea coast, the central and eastern part of northern Germany, and the central area of southern Germany. In the latter, however, there are at the same time quite strong relative decreases, just as we also find them in eastern Germany and in the western part of northern Germany. This pattern is largely consistent with the spatial pattern of the mean mentioned above. Most median decreases (p2-p6) are in the order of -0.1 to -0.4 m, for p1 the median decrease reaches even -0.7 m for the annual lower extreme value quantile. All projections except p6 agree that of all significant changes, at least a decrease of -0.1 m will be observed (max. values for 2.5% quantile in Table 2).
+
+Considering all results, we see a clear tendency toward declining groundwater levels overall, with stronger declines for lower quantiles, i.e. groundwater level lows will occur more frequently and will be more severe in the future. At the same time, mostly no or even increasing trends are found for upper extreme values, which means that the overall variability will increase significantly by the end of the century.
+
+Table 2: Detailed numbers for each projection on relative changes (left), already shown as boxplots (Figure 2C). Right tables show associated absolute changes in meters.
+
+| Relative [%] | p1 | p2 | p3 | p4 | p5 | p6 | mean |
| Max | 18.9 | 17.3 | 23.9 | 13.7 | 13.3 | 20.6 | 17.9 |
| Upper Quartile | -12.3 | 10.5 | 2.2 | -8.5 | -6.0 | 13.9 | -0.1 |
| Median | -17.8 | 7.5 | -12.0 | -12.3 | -10.7 | 10.7 | -5.8 |
| Lower Quartile | -23.5 | -9.3 | -15.6 | -16.9 | -14.2 | -4.7 | -14.0 |
| Min | -46.8 | -16.3 | -30.4 | -31.9 | -30.6 | -16.5 | -28.7 |
| No. of sign. samples | 45 | 20 | 31 | 34 | 32 | 39 | 201 |
+
+Table 2: Detailed numbers for each projection on relative changes (left), already shown as boxplots (Figure 2C). Right tables show associated absolute changes in meters.
+
+| Relative [%] | p1 | p2 | p3 | p4 | p5 | p6 | mean |
| Max | -6.8 | 8.5 | 17.7 | -6.5 | -4.3 | 15.0 | 2.9 |
| Upper Quartile | -17.8 | -6.4 | -7.8 | -9.7 | -6.8 | 7.6 | -6.8 |
| Median | -22.9 | -8.5 | -10.6 | -12.7 | -8.4 | -6.6 | -11.6 |
| Lower Quartile | -28.1 | -11.9 | -12.8 | -17.5 | -12.1 | -9.3 | -15.3 |
| Min | -46.0 | -18.2 | -27.0 | -31.4 | -22.3 | -14.2 | -26.5 |
| No. of sign. samples | 117 | 35 | 66 | 76 | 54 | 39 | 387 |
+
+Relative [%] p1 p2 p3 p4 p5 p6 mean Max -12.2 -5.0 -4.6 -7.3 -5.0 10.0 -4.0 Upper Quartile -29.9 -8.3 -9.1 -13.4 -7.8 -7.7 -12.7 Median -34.9 -11.3 -12.3 -17.6 -10.0 -9.0 -15.8 Lower Quartile -42.2 -14.2 -15.5 -22.8 -14.0 -10.2 -19.8 Min -67.0 -23.9 -25.1 -41.4 -25.9 -15.5 -33.2 No. of sign. samples 118 53 64 96 41 38 410
+
+Figure 3 shows the detailed development at four selected sites (black boxes in Figure 2). For each site we plot the six projected groundwater level time series for the far future (2070-2100) (A1-D1), as well as the complete simulations, separately as heatmaps with years as row and weeks as columns (A2-D2). The time series plots show the diverging development of some projections in the far future, however, there is no strict sequence of
+
+| Relative [%] | p1 | p2 | p3 | p4 | p5 | p6 | mean |
| Max | -12.6 | -4.2 | -5.1 | -7.5 | -4.0 | 8.0 | -4.2 |
| Upper Quartile | -31.1 | -8.8 | -8.8 | -15.6 | -7.8 | -7.2 | -13.2 |
| Median | -37.7 | -10.9 | -11.5 | -20.8 | -9.6 | -9.7 | -16.7 |
| Lower Quartile | -45.9 | -15.0 | -14.4 | -25.9 | -12.9 | -11.3 | -20.9 |
| Min | -80.8 | -27.8 | -26.7 | -45.1 | -25.1 | -15.5 | -36.8 |
| No. of sign. samples | 118 | 72 | 66 | 102 | 60 | 37 | 455 |
+
+Absolute [m] p1 p2 p3 p4 p5 p6 mean Max 2.1 3.1 0.6 1.2 0.2 4.0 Upper Quartile -0.2 0.2 0.0 -0.1 -0.1 0.5 Median -0.3 0.1 -0.2 -0.2 -0.2 0.2 Lower Quartile -0.6 -0.2 -0.3 -0.4 -0.4 0.0 -0.3 -1.3 -0.4 -0.7 -0.7 -0.8 -0.3 No. of sign. samples 45 20 31 34 32 39 201
+
+| Absolute [m] | p1 | p2 | p3 | p4 | p5 | p6 | mean |
| Max | 2.1 | 2.5 | 2.0 | 1.8 | 0.1 | 4.8 | 2.2 |
| Upper Quartile | -0.2 | 0.1 | -0.1 | -0.1 | -0.1 | 0.3 | 0.0 |
| Median | -0.3 | -0.1 | -0.2 | -0.2 | -0.2 | 0.2 | -0.1 |
| Lower Quartile | -0.4 | -0.2 | -0.3 | -0.3 | -0.3 | -0.1 | -0.3 |
| Min | -1.6 | -0.6 | -0.7 | -0.7 | -0.9 | -0.3 | -0.8 |
| No. of sign. samples | 64 | 25 | 46 | 45 | 47 | 40 | 267 |
+
+Absolute [m] p1 p2 p3 p4 p5 p6 mean Max -0.3 -0.1 -0.1 -0.2 -0.1 0.2 Upper Quartile -0.4 -0.1 -0.2 -0.3 -0.2 -0.1 -0.2 Lower Quartile -0.6 -0.2 -0.3 -0.5 -0.3 -0.1 -0.4 Median -0.6 -0.2 -0.3 -0.5 -0.1 -0.4 -0.6 -0.5 -1.1 -3.6 -5.0 -1.1 -0.4 -0.5 -1.1 35 66 76 54 39 387 No. of sign. samples 117 35 66 76 54 39 387
+
+| Absolute [m] | p1 | p2 | p3 | p4 | p5 | p6 | mean |
| Max | -0.3 | -0.1 | -0.1 | -0.1 | -0.1 | 0.1 | 0.1 |
| Upper Quartile | -0.5 | -0.2 | -0.2 | -0.2 | -0.1 | -0.1 | -0.3 |
| Median | -0.6 | -0.2 | -0.2 | -0.3 | -0.2 | -0.1 | -0.3 |
| Lower Quartile | -0.6 | -0.2 | -0.2 | -0.3 | -0.2 | -0.1 | -0.3 |
| Min | -1.0 | -0.3 | -0.4 | -0.6 | -0.3 | -0.2 | -0.5 |
| No. of sign. samples | 118 | 53 | 64 | 96 | 41 | 38 | 410 |
+
+Absolute [m] p1 p2 p3 p4 p5 p6 mean Max -0.3 -0.1 -0.1 -0.1 -0.1 -0.1 0.1 Upper Quartile -0.5 -0.2 -0.2 -0.3 -0.1 -0.1 -0.2 Median -0.7 -0.2 -0.2 -0.4 -0.2 -0.1 -0.3 Lower Quartile -1.0 -0.3 -0.4 -0.7 -0.3 -0.2 -0.5 -15.0 -4.1 -3.4 -9.9 -2.0 -3.7 -6.3 No. of sign. samples 118 72 66 102 60 37 455
+
+| Absolute [m] | p1 | p2 | p3 | p4 | p5 | p6 | mean |
| Max | -0.3 | -0.1 | -0.1 | -0.1 | -0.1 | 1.4 | 0.1 |
| Upper Quartile | -0.5 | -0.2 | -0.2 | -0.3 | -0.1 | -0.1 | -0.2 |
| Median | -0.7 | -0.2 | -0.2 | -0.4 | -0.2 | -0.1 | -0.3 |
| Lower Quartile | -1.0 | -0.3 | -0.4 | -0.7 | -0.3 | -0.2 | -0.5 |
| Min | -15.0 | -4.1 | -3.4 | -9.9 | -2.0 | -3.7 | -6.3 |
| No. of sign. samples | 118 | 72 | 66 | 102 | 60 | 37 | 455 |
+
+Absolute [m] p1 p2 p3 p4 p5 p6 mean Max -0.3 -0.1 -0.1 -0.1 -0.1 -0.1 1.4 Upper Quartile -0.5 -0.2 -0.2 -0.3 -0.1 -0.1 -0.2 Median -0.7 -0.2 -0.2 -0.4 -0.2 -0.1 -0.3 Lower Quartile -1.0 -0.3 -0.4 -0.7 -0.3 -0.2 -0.5 -15.0 -4.1 -3.4 -9.9 -2.0 -3.7 -6.3 No. of sign. samples 118 72 66 102 60 37 455
+
+<--- Page Split --->
+
+projections in terms of absolute groundwater height, the order can change throughout the years. Most heatmaps show the development described above by displaying generally declining groundwater levels (more and darker red, as well as lighter or constant blue shadings towards 2100 in the lower part of the heatmaps). What we additionally see now is that the length of low groundwater levels increases (red shadings get wider) for all sites. The time of higher groundwater levels throughout the year shows two possible developments of either getting shorter (blue shadings get narrower, e.g. B2- p1 or even change to red, e.g. D2- p4) or staying constant in length (width of blue shadings does not change, e.g. A2- p2 and A2- p6), with optionally even increasing peak height (darker blue, e.g. A2- p6). In both plot types we can also recognize sequences of several more extreme years, such as several dry years around 2090 in B1- p4, which also reflects in a dark- red stripe in the corresponding heatmap (B2- p4). Such sequences are especially critical because effects accumulate and dependent ecosystem are not able to recover but are instead particularly vulnerable to further damage in subsequent years due to reduced resilience.
+
+## Average projection results
+
+We consolidated the separate projection results for each site into one by calculating the mean of the significant trends shown in Figure 2. Only sites with at least 4 (thus the majority) significant results are included, the rest is depicted as not significant on average. Results are shown in Figure 4. The development of the mean is depicted in the upper left map and we find, that according to the aforementioned definition, \(41\%\) of the wells (49 of 118) are considered significant on average and on median show a change of \(- 13\%\) . We do not find any wells with increasing mean trends and observe a similar spatial pattern as before with strongest decreases in eastern Germany. For wells in southern Germany we observe noticeably many non- significant changes. All in all, we simulated significant average decreases between \(- 0.2 \text{m}\) to \(- 2.4 \text{m}\) for about 25 wells, and at least a decrease of \(- 10 \text{cm}\) for all 49 wells in Figure 4A (max. abs. value of the mean in Figure 4D). In case of the upper extreme value quantile \((97.5\%)\) we can summarize that the consolidated results show mainly no trends, especially for southern Germany, they will therefore probably remain at their current level. Few sites (5), all of them in northern Germany, are expected to show increased upper extreme values up to a maximum of \(15\%\) or \(1.5 \text{m}\) , however, we still observe a spatial pattern of decreasing upper extreme values in eastern Germany up to \(- 30\%\) or \(- 0.7 \text{m}\) . Hence, in this area the groundwater levels probably will decrease in every part of the annual cycle and with comparably high certainty (many consistent significant simulations). This applies also to the lower extreme values ( \(2.5\%\) quantile) that show on average significant decreases for more than half of the examined sites all over Germany with median decreases of \(- 19\%\) (equivalent to \(- 0.3 \text{m}\) , comp. Figure 4C, D). On this map, no clear spatial pattern is recognizable any longer.
+
+## Annual maximum and minimum timing aspects
+
+Besides the relative and absolute developments of the groundwater height, we also investigated timing aspects of the groundwater dynamics. For a possible shift of the annual minimum (Figure 5) we found significant \((p< 0.05)\) results for p1 (41 of 118) and also p4 (33 of 118), with median shifts of 3.4 and 3.1 weeks (positive, i.e. later. A spatial pattern exists, showing significant and stronger shifts with increasing proximity to the coast in the north and no or even negative (i.e. earlier) shifts in the south. However, please note that most results are not significant and the shown pattern may only serve as an indication for further interpretation.
+
+<--- Page Split --->
+
+Even fewer significant shift were found in case of the annual maximum timing (not shown). Especially for snow dominated regions a shift of the peak timing from spring towards the winter is expected in the context of climate change, however, Germany as a whole cannot be considered snow- dominated. This is in accordance with our findings, because we found mainly non- significant shifts ( \(< 10\) per projection). Only in case of p4 we detected a slightly larger number of significant shifts (29 of 118). Here, the maximum even occurs on median 4 weeks later during the annual cycle, in contrary to the expected shift for snow- dominated regions.
+
+## Model input analysis
+
+From the combined analysis of our groundwater level simulations and the model inputs shown in the introduction, we can conclude, that temperature is mainly the driving factor for declining groundwater levels, rather than precipitation. This applies because mostly no significant or even increasing precipitation is projected, our models, however, still frequently show declining groundwater level tendencies, which therefore most likely are caused by the significantly increased temperature until the end of the century. Therefore, our results are consistent with other studies, which indicate that the reduction in water availability in the future is driven primarily by changes in temperature34.
+
+This reflects also in the model interpretability approach (SHAP values) we used to check the plausibility of our model outputs. The minimum SHAP value for T is mostly lower than the minimum SHAP value observed for P (except for eight sites); i.e. the models have learned that high temperatures can cause stronger decreasing groundwater levels than low precipitation. This is, however, only an interpretation of what was learned, which agrees with our conception. A causality cannot be derived from this.
+
+## Discussion
+
+The results of our simulations show a nation- wide decrease in groundwater levels by the end of the century. The absolute changes may seem small, but the fact that we investigated almost exclusively shallow aquifers and sites with very small depths to groundwater, reinforces the importance of the results, predominantly in terms of water availability for vegetation and agriculture. A decline of several tens of centimeters (depending on the projection and the area) can be vital for plants during hot and dry periods, if, as a result, the groundwater is no longer accessible. Furthermore, a related study showed, that for large parts of northern Germany, a decline of the groundwater levels by 10 cm can be considered critical in terms of altered streamflow discharge due to reduced baseflow from groundwater8. This has already been visible during the last two years, when simultaneously to low groundwater levels also extremely low water levels in surface waters (even until running dry) have been observed3. Our results show a clearer tendency of declining groundwater levels in the North and East compared to the South (Figure 4A), which emphasizes the already existing trends and patterns. However, in the southernmost part of Germany, for some individual projections, we find also some of the strongest declines (Figure 2). It is very important to note that the assessed results are only long- term averages of a future development. As recent developments showed, the succession of several dry years is much more critical than the overall trend. In such periods, the projected effects accumulate over consecutive years to extremely low groundwater levels, and thus more severe consequences are to be expected. Such longer dry periods are most likely to be averaged out, in a linear trend analysis, as performed in this study, but their existence can be seen in the examples shown in Figure 3. Future research should pay attention to this aspect more intensively. It is also
+
+<--- Page Split --->
+
+important to recall that we model simply direct climate effects on groundwater levels, thus the change is based on the development of temperature and precipitation until the end of the century only, and we assume that the basic input- output relationship or system behavior does not change. However, it can be expected that in many cases, the system behavior will be influenced by future changes in groundwater extractions, changes in vegetation and land use, as well as surface sealing and other related factors. Groundwater withdrawals in particular, are expected to increase due to regionally growing population especially in metropolitan areas (drinking water demand) and increasing demand for industry, energy and especially irrigated agriculture. As a result, the groundwater level will inevitably drop further if no active measures, such as limitation of withdrawals, avoidance of irrigated agriculture by changing crop types or even artificial recharge by infiltration, are applied. Despite all these limitations, the results give a good impression of the magnitude of changes to be expected purely due to direct climatic influences.
+
+## Methods
+
+## Data
+
+We used weekly groundwater level data from 118 different sites, well distributed all over Germany (Figure 6A). All wells are located in the unconfined, uppermost (thus mostly shallow) aquifers, which are most likely to be subject to direct climate change effects. Greater depths to groundwater are predominantly found in fractured and karstic aquifers. For additional details on the sites please refer to our supplementary material. Groundwater level records of all sites show very different lengths (Figure 6B), from 15 to 67 years, with a median length of 36 years. Data gaps were closed using information of several related groundwater level time series with highly correlated dynamics37. Information on interpolated values are included into the dataset (see section data availability).
+
+Input parameters for our models are purely climatic: precipitation (P) and temperature (T). They are widely available and easy to measure in the past and present, and also well evaluated in terms of climate projection output. Precipitation serves as proxy for groundwater recharge, temperature for evapotranspiration. Additionally, temperature usually shows a distinct annual cycle, which also provides the models with valuable information on seasonality. Since we specifically selected wells with high forecast accuracy in the past (see Model Calibration and Evaluation), we can assume that groundwater dynamic at these wells is mainly dominated by climate forcings. As long as no fundamental change of the system relations occurs (e.g. newly installed groundwater pumping or severe changes in land use nearby), we can expect reasonable results for our simulations.
+
+Besides the groundwater level data itself, we based our analysis on several datasets. The models were trained using data from the HYRAS dataset38,39, which is a gridded (5x5 km2) meteorological dataset based on observed data from meteorological stations ranging from 1951 to 2015. To evaluate the influence of climate change we used RCP8.5 scenario data from six selected climate projections that form the so called core- ensemble defined by DWD33. The core- ensemble is specifically selected for Germany and derived from a larger set of 21 climate projections ('reference- ensemble')33 to represent 80% of the bandwidth of the possible future climate signal. Further, we received the projection data bias adjusted onto the HYRAS dataset and regionalized on a 5x5 km2 grid by ref32.
+
+<--- Page Split --->
+
+## Convolutional neural networks (CNNs)
+
+Convolutional Neural Networks (CNNs) \(^{40}\) are commonly used for image recognition and classification tasks but also work well on sequential data, such as groundwater level time series \(^{29}\) . The CNNs used in this study comprise a 1D- Convolutional layer with fixed kernel size (3) and optimized number of filters, followed by a Max- Pooling layer and a Monte- Carlo dropout layer, applying a fixed dropout of \(50\%\) to prevent the model from overfitting. A dense layer with optimized size follows, succeeded by a single output neuron. We used the Adam optimizer for a maximum of 100 training epochs with an initial learning rate of 0.001 and applied gradient clipping to prevent exploding gradients. Early stopping algorithm with a patience of 15 epochs was applied as another regularization technique to prevent the model from overfitting the training data. Several model hyperparameters (HP) were optimized using Bayesian optimization \(^{41}\) : training batch size (16 to 256); input sequence length (1 to 52 weeks); number of filters in the 1D- Conv layer (1 to 256); size of the first dense layer (1 to 256). All models were implemented using Python 3.8 \(^{42}\) , the deep- learning framework TensorFlow \(^{43}\) and its Keras \(^{44}\) API. Further, the following libraries were used: Numpy \(^{45}\) , Pandas \(^{46,47}\) , Scikit- Learn \(^{48}\) , BayesOpt \(^{41}\) , Matplotlib \(^{49}\) , Unumpy \(^{50}\) and SHAP \(^{30}\) .
+
+## Model calibration and evaluation
+
+In this study we used weekly groundwater level time series data of varying length (Figure 6B). To find the best model configuration we split every time series into four parts: training set, validation set, optimization set and test set. The test set uses always the 4- year period from 2012 to 2016 (Figure 7B, s.a. Figure 8A for an example), for few sites where the time series ended slightly earlier, we shifted the test set accordingly. The first \(80\%\) of the remaining time series before 2012 were used for training, the following \(20\%\) for early stopping (validation set) and for testing during HP optimization (optimization set), using \(10\%\) of the remaining time series each (Figure 7B). As acquisition function during HP optimization we chose the sum of Nash- Sutcliffe efficiency (NSE) and squared Pearson \(r\) ( \(R^{2}\) ) (compare ref \(^{15}\) ), because in this study we used mainly these two criteria to judge the accuracy of the final optimized model in the test section. For each model we used a maximum optimization step number of 150 or stopped after 15 steps without improvement once a minimum of 60 steps was reached. Generally, we scaled the data to [- 1,1] and used an ensemble of 10 pseudo- randomly initialized models to reduce the dependency towards the random number generator seed. For each of the ten ensemble members, we applied Monte- Carlo dropout during simulation to estimate the model uncertainty from 100 realizations each. We derived the \(95\%\) confidence interval from these 100 realizations by using 1.96 times the standard deviation of the resulting distribution for each time step. Each uncertainty was propagated while calculating the overall ensemble median value for final evaluation in the test set (2012- 2016). We calculated several metrics to judge the simulation accuracy: Nash- Sutcliffe efficiency (NSE), squared Pearson \(r\) ( \(R^{2}\) ), absolute and relative root mean squared error (RMSE/rRMSE), as well as absolute and relative Bias (Bias/rBias). Note that we calculate NSE with a long term mean GWL before the test set. Please see ref \(^{29}\) for more details on calculation as the same approach was used. We use only wells, at which the models showed a very high forecast accuracy in the test- set (mostly NSE and \(R^{2}\) larger than 0.8, compare Figure 7A). Some models were included with slightly lower accuracy (at least NSE and \(R^{2}\) larger than 0.7) to improve the spatial coverage resulting in a set of 118 wells from all over Germany. For additional details on the error measures and hyperparameters for all sites please refer to our supplementary material.
+
+<--- Page Split --->
+
+## Model plausibility and interpretability
+
+To perform groundwater level simulations until 2100 we retrained all models using the defined hyperparameters and all data until 2014. Hence, we split the time series only in two parts: \(80\%\) for training and \(20\%\) for early stopping (Figure 7B). Afterwards, we assessed the model stability and the plausibility of the output values in the extrapolated regime accordingly to ref \(^{26}\) by evaluating the model output using artificially altered input data based on historical observed climatology with quadruple precipitation and systematically \(5^{\circ}C\) higher temperature (Figure 8B). As long as the model output does not "blow up" or produce meaningless outputs \(^{26}\) , we hereby improve confidence in the model output when investigating the RCP8.5 climate change scenario. Models showing implausible behavior were not considered for this study. We additionally applied an explainable AI approach to check, whether the models have learned correctly in terms of our hydrogeological understanding. We calculated SHAP \(^{30}\) values that explain the influence (sign and strength) of every input feature value on the model output (Figure 8C). Generally, our models showed that the relationship between input and output was captured plausibly. For example, high precipitation inputs (red) produce high SHAP values and therefore have a strongly positive influence on the model output, which corresponds to our basic understanding of the influence of recharge, leading to increasing groundwater levels. Low or no precipitation (blue) has a comparably very slight negative influence on GWL, whereas high temperature inputs (red) have a strong negative influence on the model output. Again, this corresponds with our basic understanding of the governing processes, where high temperature usually means high evapotranspiration, which causes less recharge or even direct groundwater evaporation in some cases. This sounds trivial, however, during preliminary work for this study we found that not all models capture these relations correctly, which also partly caused erroneous values in the extrapolated regime. Figure 8 exemplarily summarizes the model evaluation (A) and plausibility checks (B, C) for one well. Check the supplement for the respective figures of all other sites.
+
+## Evaluation of the groundwater results
+
+For our simulation results until 2100, we examined the relative development of the mean and the following quantiles over time: \(2.5\%\) (lower extreme quantile), \(25\%\) (lower quartile), \(75\%\) (upper quartile), and \(97.5\%\) (upper extreme quantile). All were site- specifically calculated on a yearly basis for each individual projection, followed by a linear trend analysis. In doing so, we are able to capture both the range and the individual development of all considered future climate projections. To make comparisons between different sites possible, results are normalized on the individual range of each historic groundwater level time series between the years 2000 and 2014 (start of simulation). Even though all climate projections are bias- adjusted on the HYRAS training dataset, they still do not depict the real climate development for individual years (also historically), which can cause a bias between the end of historic data records and the start of our simulations. We therefore investigated the trend of the aforementioned quantities between the start of the simulation and the end in 2100 and did not directly consider the end of the historic records. We examined each quantity development using Mann- Kendall linear trend test \(^{51}\) and derived the relative development in percent from a linear fit using Theil- Sen slope. We considered a trend significant for \(p < 0.05\) .
+
+## Declarations
+
+## Data availability
+
+<--- Page Split --->
+
+All groundwater level data are available free of charge from the respective websites of the local authorities. We used data interpolated based on previous knowledge and therefore publish the used data with the kind permission of the local authorities under:
+
+https://doi.org/10.5281/zenodo.4683879
+
+All climate data are available on request and free of charge for non- commercial purposes from the German Meteorological Service.
+
+## Code availability
+
+The code necessary to reproduce our results is available on GitHub under: https://github.com/AndreasWunsch/Long- Term- GWL- Simulations
+
+## Author contributions
+
+All authors contributed to conceptualization of this study. AW and TL contributed to the methodology, AW further contributed to writing the software code, validation, formal analysis, investigation, visualization and wrote the original draft. All authors contributed to reviewing and editing the draft. TL and SB both supervised the work and were involved in project administration.
+
+## Funding
+
+Open Access funding enabled and organized by Project DEAL.
+
+## Competing interests
+
+The authors declare no competing interests.
+
+## References
+
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+
+<--- Page Split --->
+
+25. Idrizovic, D. et al. Impact of climate change on water resource availability in a mountainous catchment: A case study of the Toplica River catchment, Serbia. Journal of Hydrology 587, 124992 (2020).26. Duan, S., Ullrich, P. & Shu, L. Using Convolutional Neural Networks for Streamflow Projection in California. Front. Water 2, 28 (2020).27. Lee, D., Lee, G., Kim, S. & Jung, S. Future Runoff Analysis in the Mekong River Basin under a Climate Change Scenario Using Deep Learning. Water 12, 1556 (2020).28. Gao, C. et al. Projected streamflow in the Huaihe River Basin (2010–2100) using artificial neural network. Stoch Environ Res Risk Assess 24, 685–697 (2010).29. Wunsch, A., Liesch, T. & Broda, S. Groundwater Level Forecasting with Artificial Neural Networks: A Comparison of LSTM, CNN and NARX. Hydrology and Earth System Sciences Discussions 2020, 1–23 (2020).30. Lundberg, S. M. & Lee, S.-I. A Unified Approach to Interpreting Model Predictions. in Advances in Neural Information Processing Systems (eds. Guyon, I. et al.) vol. 30 4765–4774 (Curran Associates, Inc., 2017).31. Moss, R. et al. Towards New Scenarios for Analysis of Emissions, Climate Change, Impacts, and Response Strategies. 132 http://ipcc-data.org/docs/ar5scenarios/IPCC_Final_Draft_Meeting_Report_3May08.pdf (2008).32. Brienen, S. et al. Klimawandelbedingte Änderungen in Atmosphäre und Hydrosphäre: Schlussbericht des Schwerpunktthemas Szenarienbildung (SP-101) im Themenfeld 1 des BMVI-Expertennetzwerks. (2020) doi:10.5675/expnbs2020.2020.023. DWD. Kern-Ensemble v2018. https://www.dwd.de/DE/klimaumwelt/klimaforschung/klimaprojektionen/fuer_deutschland/fuer_dtld_rcp-datensatz_node.html (2018).34. Thober, S., Marx, A. & Boeing, F. Auswirkungen der globalen Erwärmung auf hydrologische und agrarische Dürren und Hochwasser in Deutschland. 20 (2018).35. Marx, A. et al. Climate change alters low flows in Europe under a 1.5, 2, and 3 degree global warming. 24 (2017).36. Kreienkamp, F., Huebener, H., Linke, C. & Spekat, A. Good practice for the usage of climate model simulation results - a discussion paper. Environ Syst Res 1, 9 (2012).37. Wunsch, A. & Liesch, T. Entwicklung und Anwendung von Algorithmen zur Berechnung von Grundwasserständen an Referenzmessstellen auf Basis der Methode Künstlicher Neuronaler Netze. 191 https://www.bgr.bund.de/DE/Themen/Wasser/Projekte/laufend/F+E/Mentor/mentor-abschlussbericht- I.pdf?_blob=publicationFile&v=2 (2020).38. Frick, C. et al. Central European high-resolution gridded daily data sets (HYRAS): Mean temperature and relative humidity. Meteorologische Zeitschrift 23, 15–32 (2014).39. Rauthe, M., Steiner, H., Riediger, U., Mazurkiewicz, A. & Gratzki, A. A Central European precipitation climatology – Part I: Generation and validation of a high-resolution gridded daily data set (HYRAS). Meteorol. Z. 22 (2013) doi:10.1127/0941-2948/2013/0436.40. LeCun, Y., Bengio, Y. & Hinton, G. Deep learning. Nature 521, 436–444 (2015).41. Nogueira, F. Bayesian Optimization: Open source constrained global optimization tool for Python. (2014).
+
+<--- Page Split --->
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+42. van Rossum, G. Python tutorial. (1995).
+
+43. Abadi, M. et al. TensorFlow: Large-Scale Machine Learning on Heterogeneous Distributed Systems. 19 (2015).
+
+44. Chollet, F. Keras. (Keras, 2015).
+
+45. van der Walt, S., Colbert, S. C. & Varoquaux, G. The NumPy Array: A Structure for Efficient Numerical Computation. Comput. Sci. Eng. 13, 22–30 (2011).
+
+46. McKinney, W. Data Structures for Statistical Computing in Python. in 56–61 (2010). doi:10.25080/majora-92bf1922-00a.
+
+47. Reback, J. et al. pandas-dev/pandas: Pandas 1.0.3. (Zenodo, 2020). doi:10.5281/ZENODO.3509134.
+
+48. Pedregosa, F. et al. Scikit-learn: Machine Learning in Python. Journal of Machine Learning Research 12, 2825–2830 (2011).
+
+49. Hunter, J. D. Matplotlib: A 2D Graphics Environment. Computing in Science Engineering 9, 90–95 (2007).
+
+50. Lebigot, E. O. Uncertainties: a Python package for calculations with uncertainties. (2010).
+
+51. Md. Manjurul Hussain Shourov, Ishtiak Mahmud & Niemeyer, K. mmhs013/pyMannKendall: v1.4.1. (Zenodo, 2020). doi:10.5281/ZENODO.3876036.
+
+## Figures
+
+<--- Page Split --->
+
+
+Figure 1
+
+Absolute changes of total annual precipitation sums (A) and annual average temperature (B) projected by climate models for the relevant sites used in this study. Single squares depict results of a single projection, ordered by the strength and sign of the change. A2 and B2 summarize all significant (p < 0.05) results from A1 and B1, Tables (A3 and B3) give detailed numbers on the boxplots.
+
+<--- Page Split --->
+
+
+Figure 2
+
+Change of groundwater level \([\% ]\) in 2100 relative to 2014 (start of sim.) for each site and each climate projection, based on a linear trend analysis: A) mean, B) \(97.5\%\) quantile, D) \(2.5\%\) quantile; the order corresponds to the strength and sign of the change. C) Boxplots showing the significant changes for A, B, D as well as the \(25\%\) and \(75\%\) quantiles. Black boxes mark four sites (A- D) shown in detail in Figure 3.
+
+<--- Page Split --->
+
+
+Figure 3
+
+Detailed results on four sites (marked by black boxes in Figure 2): Time series plots of the far future (2070- 2100) simulation results (A1- D1); Heatmap plots (A2- D2) of the whole simulation for each of the projections with columns as weeks during the year and rows as the year (up: 2104 – down: 2100).
+
+<--- Page Split --->
+
+
+Figure 4
+
+Means of the significant trends of the mean (A), the \(97.5\%\) (B) and the \(2.5\%\) (E) quantiles shown also in Figure 2. Subplot C shows the associated boxplots (also for \(25\%\) and \(75\%\) quantiles) and the corresponding absolute changes (lower boxplots). Tables in D show detailed numbers describing the boxplots.
+
+<--- Page Split --->
+
+
+Figure 5
+
+Shift of the annual minimum in weeks until 2100 compared to the start of the simulation (2014). Negative means earlier, positive later during the annual cycle.
+
+<--- Page Split --->
+
+
+Figure 6
+
+Position, type of aquifer and depth to groundwater for each study site, B: time series length of all study sites North- South ordered.
+
+
+
+Figure 7
+
+A) Model performance of all models for the test-set (2012-2016), B) time series splitting scheme for optimization (upper) and retraining (lower).
+
+<--- Page Split --->
+
+
+Figure 8
+
+A) Optimized model evaluation in the past for the test set (2012-2016), B) Model output under an artificial extreme climate scenario in the past, C) SHAP Summary plot
+
+## Supplementary Files
+
+This is a list of supplementary files associated with this preprint. Click to download.
+
+- SupportingInformation100MB.pdf
+
+<--- Page Split --->
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+<|ref|>title<|/ref|><|det|>[[44, 107, 920, 172]]<|/det|>
+# Deep learning shows declining groundwater levels in Germany until 2100 due to climate change
+
+<|ref|>text<|/ref|><|det|>[[44, 191, 670, 230]]<|/det|>
+Andreas Wunsch ( \(\circledcirc\) andreas.wunsch@kit.edu) Karlsruhe Institute of Technology https://orcid.org/0000- 0002- 0585- 9549
+
+<|ref|>text<|/ref|><|det|>[[44, 235, 330, 274]]<|/det|>
+Tanja Liesch Karlsruhe Institute of Technology
+
+<|ref|>text<|/ref|><|det|>[[44, 280, 518, 319]]<|/det|>
+Stefan Broda Federal Institute for Geosciences and Natural Resources
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 358, 99, 375]]<|/det|>
+## Article
+
+<|ref|>text<|/ref|><|det|>[[44, 394, 771, 413]]<|/det|>
+Keywords: climate change, groundwater resources, machine learning, groundwater levels
+
+<|ref|>text<|/ref|><|det|>[[44, 430, 288, 448]]<|/det|>
+Posted Date: April 22nd, 2021
+
+<|ref|>text<|/ref|><|det|>[[44, 466, 443, 485]]<|/det|>
+DOI: https://doi.org/10.21203/rs.3.rs- 420056/v1
+
+<|ref|>text<|/ref|><|det|>[[42, 502, 955, 542]]<|/det|>
+License: \(\circledcirc\) This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+<|ref|>text<|/ref|><|det|>[[42, 577, 955, 617]]<|/det|>
+Version of Record: A version of this preprint was published at Nature Communications on March 9th, 2022. See the published version at https://doi.org/10.1038/s41467- 022- 28770- 2.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[44, 42, 153, 66]]<|/det|>
+## Abstract
+
+<|ref|>text<|/ref|><|det|>[[41, 80, 949, 296]]<|/det|>
+In this study we investigate how climate change will directly influence the groundwater resources in Germany during the 21st century. We apply a machine learning groundwater level prediction framework, based on convolutional neural networks to 118 sites well distributed over Germany to assess the groundwater level development under the RCP8.5 scenario, based on six selected climate projections, which represent \(80\%\) of the bandwidth of the possible future climate signal for Germany. We consider only direct meteorological inputs, while highly uncertain anthropogenic factors such as groundwater extractions are excluded. We detected significant declining trends of groundwater levels for most of the sites, revealing a spatial pattern of stronger decreases especially in the northern and eastern part of Germany, emphasizing already existing decreasing trends in these regions. We can further show an increased variability and longer periods of low groundwater levels during the annual cycle towards the end of the century.
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 317, 200, 342]]<|/det|>
+## Introduction
+
+<|ref|>text<|/ref|><|det|>[[40, 355, 955, 685]]<|/det|>
+Climate change is increasingly altering water availability even in generally water- rich areas like Germany, where overall water stress is currently low1. Nevertheless, hot and dry summers in recent years (especially 2018- 2020) led to ongoing exceptional droughts2,3 with severe consequences for agriculture and ecology, such as drought damages in forests, reduced crop yields and extreme low flows in rivers. Drought effects accumulated over years, because winter precipitation did not compensate summer deficits. This applies not only, but especially to groundwater resources, which are of major importance since drinking water supply in Germany is strongly dependent on groundwater and springs (almost \(70\%\) )4. Declining groundwater levels due to generally reduced groundwater recharge and higher water demand in summer, regionally forced water suppliers to exploit their current maximum capacity during dry periods to meet the demand; locally even water supply shortages occurred. During future dry periods strong usage conflicts can be expected in areas of low water availability between water suppliers and industry (process and cooling water), additionally amplified by increasing agricultural irrigation demand, which currently has only minor significance with less than \(2\%\) of the total withdrawal volume1. Knowledge of future groundwater level development, especially in the long- term, is therefore crucial to develop sustainable groundwater management plans to meet future demands, solve usage conflicts and protect ecosystems.
+
+<|ref|>text<|/ref|><|det|>[[40, 701, 950, 946]]<|/det|>
+Climate change affects groundwater in several direct and indirect ways5. Major direct drivers are changes in precipitation, snowmelt and evapotranspiration6. For Germany, climate projections show opposing trends in terms of water availability, with a slight increase in annual precipitation sums, i.e. more water, but at the same time a significant temperature increase of several degrees Celsius by \(2100^{34,35}\) , i.e. less water. The effect on groundwater resources is therefore not directly clear and needs to be analyzed. For Europe in general, higher precipitation is generally expected during winter, which in combination with a generally decreasing amount of snow, thus increasing direct infiltration, leads to higher groundwater recharge during winter and less in spring. Especially for snow dominated regions this might cause changes of seasonality6. Weather extremes are expected to intensify, therefore longer droughts and more frequent intense rainfall events will occur5. Generally higher temperatures cause higher atmospheric water demand, thus increasing evapotranspiration, leading to less infiltration and therefore less groundwater recharge. Especially unconfined, shallow aquifers are most
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[42, 45, 940, 157]]<|/det|>
+likely to be sensitive to direct climate change effects7. Indirect climate change influences on groundwater are mostly related to anthropogenic groundwater withdrawals or associated with land- use changes5. It is known that the groundwater storage reduction caused by pumping could easily far exceed natural recharge6,8. The impact of these factors will be exacerbated as water demand increases to meet the needs of regionally growing population (mainly due to growing urban areas), industry and agricultural irrigation.
+
+<|ref|>text<|/ref|><|det|>[[40, 170, 955, 619]]<|/det|>
+In recent years, artificial neural network (ANN) approaches have proven their usefulness in predicting groundwater levels9- 14, even using a highly transferable approach with purely climatic input parameters (e.g. ref15). In a previous study15 we showed that 1D- Convolution Neural Networks (CNNs) are a good choice for groundwater level simulation, as they can provide high accuracy and furthermore are fast and reliable. Unlike physically- based models, which usually require a very good knowledge of local conditions and need to be time- consumingly built and calibrated, data- driven models such as ANNs are able to predict a target variable using only relevant driving forces. This makes studies on larger areas easier and is therefore the method of choice for this study. To the authors' knowledge, no comprehensive direct evaluation of groundwater level development until 2100 exists for Germany yet. Besides a rather old small- scale study16 also a regional- scale study for the Danube basin has been conducted to date17. The latter uses several dynamically- coupled, process- based model components and the authors found strongly declining groundwater levels with declines of up to 10 m close to the Alps in southernmost Germany for their scenario period (2036- 2060). Further, several studies investigated future groundwater recharge in different contexts for subregions of Germany using mainly water balance models or process- based models17- 22. Furthermore, the application of ANNs to study groundwater level development in the long- term and in the context of climate change for a larger area like Germany has not been performed yet. Related studies with applications of ANNs either used a very small number of wells23- 25 and limited time horizons23,24 or use ANNs without directly presenting future climate signals to the ANN25. In case of streamflow runoff simulation, however, ANNs have been successfully applied to analyze the future development under climate change influences in several catchments all over California26 as well as two catchments in China27,28.
+
+<|ref|>text<|/ref|><|det|>[[40, 635, 958, 945]]<|/det|>
+In this study we use a 1D- CNN approach29 to build 118 site- specific models, well distributed all over Germany in the respective uppermost unconfined aquifer, which are able to predict weekly groundwater levels with high accuracy using only precipitation and temperature as inputs in the past. We visually check the model output plausibility under an artificial extreme climate scenario26 and investigate how the model has learned input- output relationships using an explainable AI approach (SHAP30). We then use the trained CNN models to investigate the future groundwater level development for the selected sites, using precipitation and temperature derived from the RCP8.5 scenario31 of bias- corrected and downscaled (5 x 5 km2) climate projection data32 from six climate models as inputs. These six climate models were preselected by the German Meteorological Service to represent 80% of the possible future climate signal ("core- ensemble")33 for Germany. Table 1 lists these projections, which are part of the EURO- CORDEX Ensemble and assigns them an abbreviation that will be used as a synonym in the remaining part of the paper. As we use purely climatic input parameters we can only project the influence of direct climate change effects, while secondary, most certainly stronger indirect effects, such as increased groundwater pumping, are not included in this study. However, due to high prediction accuracy in the past, the selected sites are unlikely to be under the influence of strong groundwater
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[42, 45, 955, 107]]<|/det|>
+withdrawals or comparable effects, and are therefore suitable for predicting that part of the future groundwater level trend that results from direct climatic influences, as long as the basic input- output relationships remain unchanged.
+
+<|ref|>table<|/ref|><|det|>[[42, 168, 461, 270]]<|/det|>
+<|ref|>table_caption<|/ref|><|det|>[[42, 122, 956, 158]]<|/det|>
+Table 1: Climate projections used in this study and according abbreviations used throughout the text. For more information on the models please visit https://www.euro-cordex.net/.
+
+| Projection | Abbrev. |
| CCCma-CanE SM2_rcp85_r1i1p1_CLMcom-CCLM4-8-17 | p1 |
| ICHEC-EC-EARTH_rcp85_r1i1p1_KNMI-RACMO22E | p2 |
| MIROC-MIROC5_rcp85_r1i1p1_GERICS-REMO2015 | p3 |
| MOHC-HadGEM2-E5_rcp85_r1i1p1_CLMcom-CCLM4-8-17 | p4 |
| MPI-M-MPI-ESM-LR_rcp85_r1i1p1_UHOI-WRF361H | p5 |
| MPI-M-MPI-ESM-LR_rcp85_r2i1p1_MPI-CSC-REMO2009 | p6 |
+
+<|ref|>text<|/ref|><|det|>[[40, 285, 956, 765]]<|/det|>
+Generally, climate projections show a slight increase in precipitation sums and a significant temperature increase of several degrees Celsius for Germany by \(2100^{34,35}\) , exact values depending on the scenario considered \(^{35}\) . Figure 1 shows the change of total annual precipitation (A1- A3) and annual average temperature (B1- B3) for each of the climate projections used in this study in 2100, compared to the start of our investigation in 2014. The change is derived from a linear trend analyses at the 118 sites, that are subject to further investigations in this study. Boxplots (A2, B2) show only significant ( \(p < 0.05\) ) changes, according numbers are shown in subplots A3 and B3, further, the order within subplots A1 and B1 does not correspond to the numbering of the projections but to the strength and direction of the trend. We see that many projections of total annual precipitation do not show any significant trend and are therefore marked in grey (especially p2, p4 and p5, s.a. Figure 1- A3). However, for almost all sites we observe significant declines of up to - 450 mm per year for p1, but at the same time increases of up to 296 mm per year for p3 and especially p6. Some projections are therefore diverging until 2100 in terms of precipitation sums, which shows that we cover a large range of a possible climate signal under the RCP8.5 scenario. Despite many non- significant trends, a spatial pattern of significant changes with a decreasing tendency in northwestern Germany and less clear increasing tendency in eastern Germany is visible. Strongest decreases are projected to occur in southernmost Germany; however, especially in southern but also in eastern areas two opposing trends usually occur at one site, so the development is not unambiguous. Compared to precipitation sums, the development of the annual average temperature is more consistent for all projections. Overall, temperature increases between \(2.4^{\circ}C\) and \(5.8^{\circ}C\) occur. On average, p1 shows the strongest increases, followed by p4. Together with the decreasing precipitation sums, p1 therefore shows the probably most challenging development in terms of water availability compared to the other projections used in this study. Spatially, we observe lighter temperature increases in north- western Germany, which most certainly is linked to a buffer effect near the coast.
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 787, 139, 810]]<|/det|>
+## Results
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 824, 272, 842]]<|/det|>
+## Individual projection results
+
+<|ref|>text<|/ref|><|det|>[[42, 860, 945, 946]]<|/det|>
+For each of the examined 118 test sites, we simulated the future weekly groundwater level development based on six climate projections (s.a. Table 1). Since these climate projections differ considerably in detail for individual future time periods, we also obtained six different future groundwater level simulations, which should only be interpreted on the basis of longer time periods (at least 30 years) \(^{36}\) . Figure 2 depicts the trend
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[41, 44, 951, 237]]<|/det|>
+as the relative development in percent of the annual mean for each of the six projections (A) as well as the annual upper extreme (97.5%) quantile (B) and the annual lower extreme (2.5%) quantile (D) for all test sites in 2100, compared to the start of the simulation (2014) and normalized on the individual historic range as explained in the methods section. For each site, all relative developments are shown ordered by the strength of the change, the order does therefore not correspond to the numbering of the projections. The given boxplots in Figure 2C provide more detailed information for the three maps as well as on the development of the 25% and the 75% quantiles, relative and absolute values of the presented changes are given in Table 2. The values of the non- significant trends are not shown in the boxplots, which has to be kept in mind for interpretation, especially for quantiles with many non- significant trends (compare Table 2).
+
+<|ref|>text<|/ref|><|det|>[[40, 253, 955, 683]]<|/det|>
+In case of the mean, approximately 54% of all simulations (387 of 708, i.e. six projections for each of the 118 sites) show a significant trend until 2100. At least one of the projected developments is always considered significant (p<0.05) for each site, which, however, also means that there are several sites with mainly non- significant trends (grey). The large majority of the significant trends is negative with a median ranging between - 23% in case of p1 and - 6.6% in case of p6 (Table 2). In Figure 2C we observe that p1 systematically shows the strongest declines until 2100, being significant for 117 of the 118 wells. The overall maximum decline is - 46%, clearly indicating the different character of p1 compared to the other projections. Especially projections p3- p5 show more moderate changes of the mean (median ranges from - 8% to - 13%), with many non- significant trends (35%- 54%). Simulations based on p2 and p6 only find significant trends for around 30% of all sites and additionally are moderate in their significant results. Three projections (p2, p3, but mainly p6, compare Table 2) even show some positive developments until 2100, however overall, such developments are rare and occur at sites, where other projections simultaneously show at least non- significant or even negative trends. In absolute numbers the mentioned median changes are in the order of - 0.1 m to - 0.4 m, which is highly dependent on the individual groundwater level range at each site. Despite many non- significant and some positive trends, there is a clear tendency of declining mean groundwater levels until 2100. Additionally, we can observe a slight spatial tendency with more and stronger significant negative trends in some areas of northern and eastern Germany, where we also find the strongest overall relative declines. In southern Germany many wells show several non- significant trends and also most positive changes can be found scattered in this region, however, some of the southernmost wells show very strong declines for single simulations, comparably to the strong declines in eastern Germany.
+
+<|ref|>text<|/ref|><|det|>[[41, 699, 955, 914]]<|/det|>
+In case of the upper extreme value quantile (97.5%) this spatial pattern is partly confirmed. In Figure 2B we clearly observe many significant declines in eastern Germany, while the large majority (>70%) of the trends in whole Germany is considered to be non- significant. Increasing trends are found comparably often for the 97.5% quantiles, with increases up to 20%. Comparing the projections with each other (Figure 2C), we find a similar behavior as before: p1 shows the strongest significant decreases (down to - 47%), p3, p4 and p5 tend to move in the moderate negative range (medians around - 12%), while p2 and p6 more often show positive trends (positive medians of the significant trends). We therefore observe partly a contradictory development of the upper extreme values compared to the mean. The absolute numbers of the mentioned changes again are in the order of few tens of centimeters upwards and downwards. The strongest simulated absolute increase (max. of p6) is almost 5 meters, however, in a karstic well in southern Germany, which has a high variability anyway.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[42, 45, 950, 344]]<|/det|>
+The tendency of declining groundwater levels we observed for the mean, gets clearer for the lower extreme values (2.5% quantile) shown in Figure 2D. We still observe 36% non-significant trends, however the remaining 65% show almost exclusively negative changes with a maximum decline of -81% (Table 2). The median change of the 2.5% quantile of all projections ranges between -38% for p1, which again shows the strongest declines, followed by p4 (-21%), as well as p2, p3, p5 and p6 with a median change around -10% each. The latter four, and especially of them p6, contain the majority of non-significant trends, the changes shown in the boxplots therefore tend to be overestimated. There are only few sites where only one result is considered significant. These occur mainly near the Baltic Sea coast, the central and eastern part of northern Germany, and the central area of southern Germany. In the latter, however, there are at the same time quite strong relative decreases, just as we also find them in eastern Germany and in the western part of northern Germany. This pattern is largely consistent with the spatial pattern of the mean mentioned above. Most median decreases (p2-p6) are in the order of -0.1 to -0.4 m, for p1 the median decrease reaches even -0.7 m for the annual lower extreme value quantile. All projections except p6 agree that of all significant changes, at least a decrease of -0.1 m will be observed (max. values for 2.5% quantile in Table 2).
+
+<|ref|>text<|/ref|><|det|>[[42, 360, 933, 446]]<|/det|>
+Considering all results, we see a clear tendency toward declining groundwater levels overall, with stronger declines for lower quantiles, i.e. groundwater level lows will occur more frequently and will be more severe in the future. At the same time, mostly no or even increasing trends are found for upper extreme values, which means that the overall variability will increase significantly by the end of the century.
+
+<|ref|>table<|/ref|><|det|>[[42, 504, 380, 636]]<|/det|>
+<|ref|>table_caption<|/ref|><|det|>[[42, 459, 955, 495]]<|/det|>
+Table 2: Detailed numbers for each projection on relative changes (left), already shown as boxplots (Figure 2C). Right tables show associated absolute changes in meters.
+
+| Relative [%] | p1 | p2 | p3 | p4 | p5 | p6 | mean |
| Max | 18.9 | 17.3 | 23.9 | 13.7 | 13.3 | 20.6 | 17.9 |
| Upper Quartile | -12.3 | 10.5 | 2.2 | -8.5 | -6.0 | 13.9 | -0.1 |
| Median | -17.8 | 7.5 | -12.0 | -12.3 | -10.7 | 10.7 | -5.8 |
| Lower Quartile | -23.5 | -9.3 | -15.6 | -16.9 | -14.2 | -4.7 | -14.0 |
| Min | -46.8 | -16.3 | -30.4 | -31.9 | -30.6 | -16.5 | -28.7 |
| No. of sign. samples | 45 | 20 | 31 | 34 | 32 | 39 | 201 |
+
+<|ref|>table<|/ref|><|det|>[[42, 644, 380, 715]]<|/det|>
+<|ref|>table_caption<|/ref|><|det|>[[42, 460, 955, 495]]<|/det|>
+Table 2: Detailed numbers for each projection on relative changes (left), already shown as boxplots (Figure 2C). Right tables show associated absolute changes in meters.
+
+| Relative [%] | p1 | p2 | p3 | p4 | p5 | p6 | mean |
| Max | -6.8 | 8.5 | 17.7 | -6.5 | -4.3 | 15.0 | 2.9 |
| Upper Quartile | -17.8 | -6.4 | -7.8 | -9.7 | -6.8 | 7.6 | -6.8 |
| Median | -22.9 | -8.5 | -10.6 | -12.7 | -8.4 | -6.6 | -11.6 |
| Lower Quartile | -28.1 | -11.9 | -12.8 | -17.5 | -12.1 | -9.3 | -15.3 |
| Min | -46.0 | -18.2 | -27.0 | -31.4 | -22.3 | -14.2 | -26.5 |
| No. of sign. samples | 117 | 35 | 66 | 76 | 54 | 39 | 387 |
+
+<|ref|>table<|/ref|><|det|>[[42, 721, 380, 784]]<|/det|>
+<|ref|>table_caption<|/ref|><|det|>[[42, 644, 380, 715]]<|/det|>
+Relative [%] p1 p2 p3 p4 p5 p6 mean Max -12.2 -5.0 -4.6 -7.3 -5.0 10.0 -4.0 Upper Quartile -29.9 -8.3 -9.1 -13.4 -7.8 -7.7 -12.7 Median -34.9 -11.3 -12.3 -17.6 -10.0 -9.0 -15.8 Lower Quartile -42.2 -14.2 -15.5 -22.8 -14.0 -10.2 -19.8 Min -67.0 -23.9 -25.1 -41.4 -25.9 -15.5 -33.2 No. of sign. samples 118 53 64 96 41 38 410
+
+<|ref|>table<|/ref|><|det|>[[42, 791, 380, 854]]<|/det|>
+<|ref|>table_caption<|/ref|><|det|>[[42, 876, 941, 958]]<|/det|>
+Figure 3 shows the detailed development at four selected sites (black boxes in Figure 2). For each site we plot the six projected groundwater level time series for the far future (2070-2100) (A1-D1), as well as the complete simulations, separately as heatmaps with years as row and weeks as columns (A2-D2). The time series plots show the diverging development of some projections in the far future, however, there is no strict sequence of
+
+| Relative [%] | p1 | p2 | p3 | p4 | p5 | p6 | mean |
| Max | -12.6 | -4.2 | -5.1 | -7.5 | -4.0 | 8.0 | -4.2 |
| Upper Quartile | -31.1 | -8.8 | -8.8 | -15.6 | -7.8 | -7.2 | -13.2 |
| Median | -37.7 | -10.9 | -11.5 | -20.8 | -9.6 | -9.7 | -16.7 |
| Lower Quartile | -45.9 | -15.0 | -14.4 | -25.9 | -12.9 | -11.3 | -20.9 |
| Min | -80.8 | -27.8 | -26.7 | -45.1 | -25.1 | -15.5 | -36.8 |
| No. of sign. samples | 118 | 72 | 66 | 102 | 60 | 37 | 455 |
+
+<|ref|>table<|/ref|><|det|>[[420, 504, 777, 636]]<|/det|>
+<|ref|>table_caption<|/ref|><|det|>[[420, 504, 777, 636]]<|/det|>
+Absolute [m] p1 p2 p3 p4 p5 p6 mean Max 2.1 3.1 0.6 1.2 0.2 4.0 Upper Quartile -0.2 0.2 0.0 -0.1 -0.1 0.5 Median -0.3 0.1 -0.2 -0.2 -0.2 0.2 Lower Quartile -0.6 -0.2 -0.3 -0.4 -0.4 0.0 -0.3 -1.3 -0.4 -0.7 -0.7 -0.8 -0.3 No. of sign. samples 45 20 31 34 32 39 201
+
+| Absolute [m] | p1 | p2 | p3 | p4 | p5 | p6 | mean |
| Max | 2.1 | 2.5 | 2.0 | 1.8 | 0.1 | 4.8 | 2.2 |
| Upper Quartile | -0.2 | 0.1 | -0.1 | -0.1 | -0.1 | 0.3 | 0.0 |
| Median | -0.3 | -0.1 | -0.2 | -0.2 | -0.2 | 0.2 | -0.1 |
| Lower Quartile | -0.4 | -0.2 | -0.3 | -0.3 | -0.3 | -0.1 | -0.3 |
| Min | -1.6 | -0.6 | -0.7 | -0.7 | -0.9 | -0.3 | -0.8 |
| No. of sign. samples | 64 | 25 | 46 | 45 | 47 | 40 | 267 |
+
+<|ref|>table<|/ref|><|det|>[[420, 644, 777, 714]]<|/det|>
+<|ref|>table_caption<|/ref|><|det|>[[420, 644, 777, 714]]<|/det|>
+Absolute [m] p1 p2 p3 p4 p5 p6 mean Max -0.3 -0.1 -0.1 -0.2 -0.1 0.2 Upper Quartile -0.4 -0.1 -0.2 -0.3 -0.2 -0.1 -0.2 Lower Quartile -0.6 -0.2 -0.3 -0.5 -0.3 -0.1 -0.4 Median -0.6 -0.2 -0.3 -0.5 -0.1 -0.4 -0.6 -0.5 -1.1 -3.6 -5.0 -1.1 -0.4 -0.5 -1.1 35 66 76 54 39 387 No. of sign. samples 117 35 66 76 54 39 387
+
+| Absolute [m] | p1 | p2 | p3 | p4 | p5 | p6 | mean |
| Max | -0.3 | -0.1 | -0.1 | -0.1 | -0.1 | 0.1 | 0.1 |
| Upper Quartile | -0.5 | -0.2 | -0.2 | -0.2 | -0.1 | -0.1 | -0.3 |
| Median | -0.6 | -0.2 | -0.2 | -0.3 | -0.2 | -0.1 | -0.3 |
| Lower Quartile | -0.6 | -0.2 | -0.2 | -0.3 | -0.2 | -0.1 | -0.3 |
| Min | -1.0 | -0.3 | -0.4 | -0.6 | -0.3 | -0.2 | -0.5 |
| No. of sign. samples | 118 | 53 | 64 | 96 | 41 | 38 | 410 |
+
+<|ref|>table<|/ref|><|det|>[[420, 791, 777, 854]]<|/det|>
+<|ref|>table_caption<|/ref|><|det|>[[420, 791, 777, 854]]<|/det|>
+Absolute [m] p1 p2 p3 p4 p5 p6 mean Max -0.3 -0.1 -0.1 -0.1 -0.1 -0.1 0.1 Upper Quartile -0.5 -0.2 -0.2 -0.3 -0.1 -0.1 -0.2 Median -0.7 -0.2 -0.2 -0.4 -0.2 -0.1 -0.3 Lower Quartile -1.0 -0.3 -0.4 -0.7 -0.3 -0.2 -0.5 -15.0 -4.1 -3.4 -9.9 -2.0 -3.7 -6.3 No. of sign. samples 118 72 66 102 60 37 455
+
+| Absolute [m] | p1 | p2 | p3 | p4 | p5 | p6 | mean |
| Max | -0.3 | -0.1 | -0.1 | -0.1 | -0.1 | 1.4 | 0.1 |
| Upper Quartile | -0.5 | -0.2 | -0.2 | -0.3 | -0.1 | -0.1 | -0.2 |
| Median | -0.7 | -0.2 | -0.2 | -0.4 | -0.2 | -0.1 | -0.3 |
| Lower Quartile | -1.0 | -0.3 | -0.4 | -0.7 | -0.3 | -0.2 | -0.5 |
| Min | -15.0 | -4.1 | -3.4 | -9.9 | -2.0 | -3.7 | -6.3 |
| No. of sign. samples | 118 | 72 | 66 | 102 | 60 | 37 | 455 |
+
+<|ref|>table<|/ref|><|det|>[[420, 871, 777, 954]]<|/det|>
+<|ref|>table_caption<|/ref|><|det|>[[420, 871, 777, 954]]<|/det|>
+Absolute [m] p1 p2 p3 p4 p5 p6 mean Max -0.3 -0.1 -0.1 -0.1 -0.1 -0.1 1.4 Upper Quartile -0.5 -0.2 -0.2 -0.3 -0.1 -0.1 -0.2 Median -0.7 -0.2 -0.2 -0.4 -0.2 -0.1 -0.3 Lower Quartile -1.0 -0.3 -0.4 -0.7 -0.3 -0.2 -0.5 -15.0 -4.1 -3.4 -9.9 -2.0 -3.7 -6.3 No. of sign. samples 118 72 66 102 60 37 455
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[40, 44, 945, 302]]<|/det|>
+projections in terms of absolute groundwater height, the order can change throughout the years. Most heatmaps show the development described above by displaying generally declining groundwater levels (more and darker red, as well as lighter or constant blue shadings towards 2100 in the lower part of the heatmaps). What we additionally see now is that the length of low groundwater levels increases (red shadings get wider) for all sites. The time of higher groundwater levels throughout the year shows two possible developments of either getting shorter (blue shadings get narrower, e.g. B2- p1 or even change to red, e.g. D2- p4) or staying constant in length (width of blue shadings does not change, e.g. A2- p2 and A2- p6), with optionally even increasing peak height (darker blue, e.g. A2- p6). In both plot types we can also recognize sequences of several more extreme years, such as several dry years around 2090 in B1- p4, which also reflects in a dark- red stripe in the corresponding heatmap (B2- p4). Such sequences are especially critical because effects accumulate and dependent ecosystem are not able to recover but are instead particularly vulnerable to further damage in subsequent years due to reduced resilience.
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 319, 259, 338]]<|/det|>
+## Average projection results
+
+<|ref|>text<|/ref|><|det|>[[40, 354, 958, 741]]<|/det|>
+We consolidated the separate projection results for each site into one by calculating the mean of the significant trends shown in Figure 2. Only sites with at least 4 (thus the majority) significant results are included, the rest is depicted as not significant on average. Results are shown in Figure 4. The development of the mean is depicted in the upper left map and we find, that according to the aforementioned definition, \(41\%\) of the wells (49 of 118) are considered significant on average and on median show a change of \(- 13\%\) . We do not find any wells with increasing mean trends and observe a similar spatial pattern as before with strongest decreases in eastern Germany. For wells in southern Germany we observe noticeably many non- significant changes. All in all, we simulated significant average decreases between \(- 0.2 \text{m}\) to \(- 2.4 \text{m}\) for about 25 wells, and at least a decrease of \(- 10 \text{cm}\) for all 49 wells in Figure 4A (max. abs. value of the mean in Figure 4D). In case of the upper extreme value quantile \((97.5\%)\) we can summarize that the consolidated results show mainly no trends, especially for southern Germany, they will therefore probably remain at their current level. Few sites (5), all of them in northern Germany, are expected to show increased upper extreme values up to a maximum of \(15\%\) or \(1.5 \text{m}\) , however, we still observe a spatial pattern of decreasing upper extreme values in eastern Germany up to \(- 30\%\) or \(- 0.7 \text{m}\) . Hence, in this area the groundwater levels probably will decrease in every part of the annual cycle and with comparably high certainty (many consistent significant simulations). This applies also to the lower extreme values ( \(2.5\%\) quantile) that show on average significant decreases for more than half of the examined sites all over Germany with median decreases of \(- 19\%\) (equivalent to \(- 0.3 \text{m}\) , comp. Figure 4C, D). On this map, no clear spatial pattern is recognizable any longer.
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 757, 440, 776]]<|/det|>
+## Annual maximum and minimum timing aspects
+
+<|ref|>text<|/ref|><|det|>[[42, 792, 955, 921]]<|/det|>
+Besides the relative and absolute developments of the groundwater height, we also investigated timing aspects of the groundwater dynamics. For a possible shift of the annual minimum (Figure 5) we found significant \((p< 0.05)\) results for p1 (41 of 118) and also p4 (33 of 118), with median shifts of 3.4 and 3.1 weeks (positive, i.e. later. A spatial pattern exists, showing significant and stronger shifts with increasing proximity to the coast in the north and no or even negative (i.e. earlier) shifts in the south. However, please note that most results are not significant and the shown pattern may only serve as an indication for further interpretation.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[42, 44, 955, 172]]<|/det|>
+Even fewer significant shift were found in case of the annual maximum timing (not shown). Especially for snow dominated regions a shift of the peak timing from spring towards the winter is expected in the context of climate change, however, Germany as a whole cannot be considered snow- dominated. This is in accordance with our findings, because we found mainly non- significant shifts ( \(< 10\) per projection). Only in case of p4 we detected a slightly larger number of significant shifts (29 of 118). Here, the maximum even occurs on median 4 weeks later during the annual cycle, in contrary to the expected shift for snow- dominated regions.
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 189, 218, 207]]<|/det|>
+## Model input analysis
+
+<|ref|>text<|/ref|><|det|>[[42, 225, 936, 375]]<|/det|>
+From the combined analysis of our groundwater level simulations and the model inputs shown in the introduction, we can conclude, that temperature is mainly the driving factor for declining groundwater levels, rather than precipitation. This applies because mostly no significant or even increasing precipitation is projected, our models, however, still frequently show declining groundwater level tendencies, which therefore most likely are caused by the significantly increased temperature until the end of the century. Therefore, our results are consistent with other studies, which indicate that the reduction in water availability in the future is driven primarily by changes in temperature34.
+
+<|ref|>text<|/ref|><|det|>[[42, 391, 945, 499]]<|/det|>
+This reflects also in the model interpretability approach (SHAP values) we used to check the plausibility of our model outputs. The minimum SHAP value for T is mostly lower than the minimum SHAP value observed for P (except for eight sites); i.e. the models have learned that high temperatures can cause stronger decreasing groundwater levels than low precipitation. This is, however, only an interpretation of what was learned, which agrees with our conception. A causality cannot be derived from this.
+
+<|ref|>sub_title<|/ref|><|det|>[[45, 520, 183, 545]]<|/det|>
+## Discussion
+
+<|ref|>text<|/ref|><|det|>[[40, 559, 958, 950]]<|/det|>
+The results of our simulations show a nation- wide decrease in groundwater levels by the end of the century. The absolute changes may seem small, but the fact that we investigated almost exclusively shallow aquifers and sites with very small depths to groundwater, reinforces the importance of the results, predominantly in terms of water availability for vegetation and agriculture. A decline of several tens of centimeters (depending on the projection and the area) can be vital for plants during hot and dry periods, if, as a result, the groundwater is no longer accessible. Furthermore, a related study showed, that for large parts of northern Germany, a decline of the groundwater levels by 10 cm can be considered critical in terms of altered streamflow discharge due to reduced baseflow from groundwater8. This has already been visible during the last two years, when simultaneously to low groundwater levels also extremely low water levels in surface waters (even until running dry) have been observed3. Our results show a clearer tendency of declining groundwater levels in the North and East compared to the South (Figure 4A), which emphasizes the already existing trends and patterns. However, in the southernmost part of Germany, for some individual projections, we find also some of the strongest declines (Figure 2). It is very important to note that the assessed results are only long- term averages of a future development. As recent developments showed, the succession of several dry years is much more critical than the overall trend. In such periods, the projected effects accumulate over consecutive years to extremely low groundwater levels, and thus more severe consequences are to be expected. Such longer dry periods are most likely to be averaged out, in a linear trend analysis, as performed in this study, but their existence can be seen in the examples shown in Figure 3. Future research should pay attention to this aspect more intensively. It is also
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[41, 44, 953, 281]]<|/det|>
+important to recall that we model simply direct climate effects on groundwater levels, thus the change is based on the development of temperature and precipitation until the end of the century only, and we assume that the basic input- output relationship or system behavior does not change. However, it can be expected that in many cases, the system behavior will be influenced by future changes in groundwater extractions, changes in vegetation and land use, as well as surface sealing and other related factors. Groundwater withdrawals in particular, are expected to increase due to regionally growing population especially in metropolitan areas (drinking water demand) and increasing demand for industry, energy and especially irrigated agriculture. As a result, the groundwater level will inevitably drop further if no active measures, such as limitation of withdrawals, avoidance of irrigated agriculture by changing crop types or even artificial recharge by infiltration, are applied. Despite all these limitations, the results give a good impression of the magnitude of changes to be expected purely due to direct climatic influences.
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 301, 158, 325]]<|/det|>
+## Methods
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 342, 87, 358]]<|/det|>
+## Data
+
+<|ref|>text<|/ref|><|det|>[[41, 376, 949, 550]]<|/det|>
+We used weekly groundwater level data from 118 different sites, well distributed all over Germany (Figure 6A). All wells are located in the unconfined, uppermost (thus mostly shallow) aquifers, which are most likely to be subject to direct climate change effects. Greater depths to groundwater are predominantly found in fractured and karstic aquifers. For additional details on the sites please refer to our supplementary material. Groundwater level records of all sites show very different lengths (Figure 6B), from 15 to 67 years, with a median length of 36 years. Data gaps were closed using information of several related groundwater level time series with highly correlated dynamics37. Information on interpolated values are included into the dataset (see section data availability).
+
+<|ref|>text<|/ref|><|det|>[[41, 565, 953, 757]]<|/det|>
+Input parameters for our models are purely climatic: precipitation (P) and temperature (T). They are widely available and easy to measure in the past and present, and also well evaluated in terms of climate projection output. Precipitation serves as proxy for groundwater recharge, temperature for evapotranspiration. Additionally, temperature usually shows a distinct annual cycle, which also provides the models with valuable information on seasonality. Since we specifically selected wells with high forecast accuracy in the past (see Model Calibration and Evaluation), we can assume that groundwater dynamic at these wells is mainly dominated by climate forcings. As long as no fundamental change of the system relations occurs (e.g. newly installed groundwater pumping or severe changes in land use nearby), we can expect reasonable results for our simulations.
+
+<|ref|>text<|/ref|><|det|>[[41, 773, 951, 952]]<|/det|>
+Besides the groundwater level data itself, we based our analysis on several datasets. The models were trained using data from the HYRAS dataset38,39, which is a gridded (5x5 km2) meteorological dataset based on observed data from meteorological stations ranging from 1951 to 2015. To evaluate the influence of climate change we used RCP8.5 scenario data from six selected climate projections that form the so called core- ensemble defined by DWD33. The core- ensemble is specifically selected for Germany and derived from a larger set of 21 climate projections ('reference- ensemble')33 to represent 80% of the bandwidth of the possible future climate signal. Further, we received the projection data bias adjusted onto the HYRAS dataset and regionalized on a 5x5 km2 grid by ref32.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[44, 44, 359, 63]]<|/det|>
+## Convolutional neural networks (CNNs)
+
+<|ref|>text<|/ref|><|det|>[[41, 80, 953, 370]]<|/det|>
+Convolutional Neural Networks (CNNs) \(^{40}\) are commonly used for image recognition and classification tasks but also work well on sequential data, such as groundwater level time series \(^{29}\) . The CNNs used in this study comprise a 1D- Convolutional layer with fixed kernel size (3) and optimized number of filters, followed by a Max- Pooling layer and a Monte- Carlo dropout layer, applying a fixed dropout of \(50\%\) to prevent the model from overfitting. A dense layer with optimized size follows, succeeded by a single output neuron. We used the Adam optimizer for a maximum of 100 training epochs with an initial learning rate of 0.001 and applied gradient clipping to prevent exploding gradients. Early stopping algorithm with a patience of 15 epochs was applied as another regularization technique to prevent the model from overfitting the training data. Several model hyperparameters (HP) were optimized using Bayesian optimization \(^{41}\) : training batch size (16 to 256); input sequence length (1 to 52 weeks); number of filters in the 1D- Conv layer (1 to 256); size of the first dense layer (1 to 256). All models were implemented using Python 3.8 \(^{42}\) , the deep- learning framework TensorFlow \(^{43}\) and its Keras \(^{44}\) API. Further, the following libraries were used: Numpy \(^{45}\) , Pandas \(^{46,47}\) , Scikit- Learn \(^{48}\) , BayesOpt \(^{41}\) , Matplotlib \(^{49}\) , Unumpy \(^{50}\) and SHAP \(^{30}\) .
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 387, 316, 405]]<|/det|>
+## Model calibration and evaluation
+
+<|ref|>text<|/ref|><|det|>[[40, 420, 952, 944]]<|/det|>
+In this study we used weekly groundwater level time series data of varying length (Figure 6B). To find the best model configuration we split every time series into four parts: training set, validation set, optimization set and test set. The test set uses always the 4- year period from 2012 to 2016 (Figure 7B, s.a. Figure 8A for an example), for few sites where the time series ended slightly earlier, we shifted the test set accordingly. The first \(80\%\) of the remaining time series before 2012 were used for training, the following \(20\%\) for early stopping (validation set) and for testing during HP optimization (optimization set), using \(10\%\) of the remaining time series each (Figure 7B). As acquisition function during HP optimization we chose the sum of Nash- Sutcliffe efficiency (NSE) and squared Pearson \(r\) ( \(R^{2}\) ) (compare ref \(^{15}\) ), because in this study we used mainly these two criteria to judge the accuracy of the final optimized model in the test section. For each model we used a maximum optimization step number of 150 or stopped after 15 steps without improvement once a minimum of 60 steps was reached. Generally, we scaled the data to [- 1,1] and used an ensemble of 10 pseudo- randomly initialized models to reduce the dependency towards the random number generator seed. For each of the ten ensemble members, we applied Monte- Carlo dropout during simulation to estimate the model uncertainty from 100 realizations each. We derived the \(95\%\) confidence interval from these 100 realizations by using 1.96 times the standard deviation of the resulting distribution for each time step. Each uncertainty was propagated while calculating the overall ensemble median value for final evaluation in the test set (2012- 2016). We calculated several metrics to judge the simulation accuracy: Nash- Sutcliffe efficiency (NSE), squared Pearson \(r\) ( \(R^{2}\) ), absolute and relative root mean squared error (RMSE/rRMSE), as well as absolute and relative Bias (Bias/rBias). Note that we calculate NSE with a long term mean GWL before the test set. Please see ref \(^{29}\) for more details on calculation as the same approach was used. We use only wells, at which the models showed a very high forecast accuracy in the test- set (mostly NSE and \(R^{2}\) larger than 0.8, compare Figure 7A). Some models were included with slightly lower accuracy (at least NSE and \(R^{2}\) larger than 0.7) to improve the spatial coverage resulting in a set of 118 wells from all over Germany. For additional details on the error measures and hyperparameters for all sites please refer to our supplementary material.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[44, 45, 350, 64]]<|/det|>
+## Model plausibility and interpretability
+
+<|ref|>text<|/ref|><|det|>[[40, 78, 951, 540]]<|/det|>
+To perform groundwater level simulations until 2100 we retrained all models using the defined hyperparameters and all data until 2014. Hence, we split the time series only in two parts: \(80\%\) for training and \(20\%\) for early stopping (Figure 7B). Afterwards, we assessed the model stability and the plausibility of the output values in the extrapolated regime accordingly to ref \(^{26}\) by evaluating the model output using artificially altered input data based on historical observed climatology with quadruple precipitation and systematically \(5^{\circ}C\) higher temperature (Figure 8B). As long as the model output does not "blow up" or produce meaningless outputs \(^{26}\) , we hereby improve confidence in the model output when investigating the RCP8.5 climate change scenario. Models showing implausible behavior were not considered for this study. We additionally applied an explainable AI approach to check, whether the models have learned correctly in terms of our hydrogeological understanding. We calculated SHAP \(^{30}\) values that explain the influence (sign and strength) of every input feature value on the model output (Figure 8C). Generally, our models showed that the relationship between input and output was captured plausibly. For example, high precipitation inputs (red) produce high SHAP values and therefore have a strongly positive influence on the model output, which corresponds to our basic understanding of the influence of recharge, leading to increasing groundwater levels. Low or no precipitation (blue) has a comparably very slight negative influence on GWL, whereas high temperature inputs (red) have a strong negative influence on the model output. Again, this corresponds with our basic understanding of the governing processes, where high temperature usually means high evapotranspiration, which causes less recharge or even direct groundwater evaporation in some cases. This sounds trivial, however, during preliminary work for this study we found that not all models capture these relations correctly, which also partly caused erroneous values in the extrapolated regime. Figure 8 exemplarily summarizes the model evaluation (A) and plausibility checks (B, C) for one well. Check the supplement for the respective figures of all other sites.
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 555, 355, 573]]<|/det|>
+## Evaluation of the groundwater results
+
+<|ref|>text<|/ref|><|det|>[[41, 589, 953, 872]]<|/det|>
+For our simulation results until 2100, we examined the relative development of the mean and the following quantiles over time: \(2.5\%\) (lower extreme quantile), \(25\%\) (lower quartile), \(75\%\) (upper quartile), and \(97.5\%\) (upper extreme quantile). All were site- specifically calculated on a yearly basis for each individual projection, followed by a linear trend analysis. In doing so, we are able to capture both the range and the individual development of all considered future climate projections. To make comparisons between different sites possible, results are normalized on the individual range of each historic groundwater level time series between the years 2000 and 2014 (start of simulation). Even though all climate projections are bias- adjusted on the HYRAS training dataset, they still do not depict the real climate development for individual years (also historically), which can cause a bias between the end of historic data records and the start of our simulations. We therefore investigated the trend of the aforementioned quantities between the start of the simulation and the end in 2100 and did not directly consider the end of the historic records. We examined each quantity development using Mann- Kendall linear trend test \(^{51}\) and derived the relative development in percent from a linear fit using Theil- Sen slope. We considered a trend significant for \(p < 0.05\) .
+
+<|ref|>sub_title<|/ref|><|det|>[[45, 894, 204, 918]]<|/det|>
+## Declarations
+
+<|ref|>sub_title<|/ref|><|det|>[[45, 932, 180, 950]]<|/det|>
+## Data availability
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[42, 44, 951, 107]]<|/det|>
+All groundwater level data are available free of charge from the respective websites of the local authorities. We used data interpolated based on previous knowledge and therefore publish the used data with the kind permission of the local authorities under:
+
+<|ref|>text<|/ref|><|det|>[[42, 124, 387, 143]]<|/det|>
+https://doi.org/10.5281/zenodo.4683879
+
+<|ref|>text<|/ref|><|det|>[[42, 160, 921, 201]]<|/det|>
+All climate data are available on request and free of charge for non- commercial purposes from the German Meteorological Service.
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 217, 183, 236]]<|/det|>
+## Code availability
+
+<|ref|>text<|/ref|><|det|>[[42, 253, 648, 294]]<|/det|>
+The code necessary to reproduce our results is available on GitHub under: https://github.com/AndreasWunsch/Long- Term- GWL- Simulations
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 311, 215, 330]]<|/det|>
+## Author contributions
+
+<|ref|>text<|/ref|><|det|>[[42, 347, 936, 431]]<|/det|>
+All authors contributed to conceptualization of this study. AW and TL contributed to the methodology, AW further contributed to writing the software code, validation, formal analysis, investigation, visualization and wrote the original draft. All authors contributed to reviewing and editing the draft. TL and SB both supervised the work and were involved in project administration.
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 448, 115, 466]]<|/det|>
+## Funding
+
+<|ref|>text<|/ref|><|det|>[[44, 484, 553, 503]]<|/det|>
+Open Access funding enabled and organized by Project DEAL.
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 520, 211, 539]]<|/det|>
+## Competing interests
+
+<|ref|>text<|/ref|><|det|>[[44, 556, 405, 574]]<|/det|>
+The authors declare no competing interests.
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 598, 188, 621]]<|/det|>
+## References
+
+<|ref|>text<|/ref|><|det|>[[55, 636, 930, 937]]<|/det|>
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+25. Idrizovic, D. et al. Impact of climate change on water resource availability in a mountainous catchment: A case study of the Toplica River catchment, Serbia. Journal of Hydrology 587, 124992 (2020).26. Duan, S., Ullrich, P. & Shu, L. Using Convolutional Neural Networks for Streamflow Projection in California. Front. Water 2, 28 (2020).27. Lee, D., Lee, G., Kim, S. & Jung, S. Future Runoff Analysis in the Mekong River Basin under a Climate Change Scenario Using Deep Learning. Water 12, 1556 (2020).28. Gao, C. et al. Projected streamflow in the Huaihe River Basin (2010–2100) using artificial neural network. Stoch Environ Res Risk Assess 24, 685–697 (2010).29. Wunsch, A., Liesch, T. & Broda, S. Groundwater Level Forecasting with Artificial Neural Networks: A Comparison of LSTM, CNN and NARX. Hydrology and Earth System Sciences Discussions 2020, 1–23 (2020).30. Lundberg, S. M. & Lee, S.-I. A Unified Approach to Interpreting Model Predictions. in Advances in Neural Information Processing Systems (eds. Guyon, I. et al.) vol. 30 4765–4774 (Curran Associates, Inc., 2017).31. Moss, R. et al. Towards New Scenarios for Analysis of Emissions, Climate Change, Impacts, and Response Strategies. 132 http://ipcc-data.org/docs/ar5scenarios/IPCC_Final_Draft_Meeting_Report_3May08.pdf (2008).32. Brienen, S. et al. Klimawandelbedingte Änderungen in Atmosphäre und Hydrosphäre: Schlussbericht des Schwerpunktthemas Szenarienbildung (SP-101) im Themenfeld 1 des BMVI-Expertennetzwerks. (2020) doi:10.5675/expnbs2020.2020.023. DWD. Kern-Ensemble v2018. https://www.dwd.de/DE/klimaumwelt/klimaforschung/klimaprojektionen/fuer_deutschland/fuer_dtld_rcp-datensatz_node.html (2018).34. Thober, S., Marx, A. & Boeing, F. Auswirkungen der globalen Erwärmung auf hydrologische und agrarische Dürren und Hochwasser in Deutschland. 20 (2018).35. Marx, A. et al. Climate change alters low flows in Europe under a 1.5, 2, and 3 degree global warming. 24 (2017).36. Kreienkamp, F., Huebener, H., Linke, C. & Spekat, A. Good practice for the usage of climate model simulation results - a discussion paper. Environ Syst Res 1, 9 (2012).37. Wunsch, A. & Liesch, T. Entwicklung und Anwendung von Algorithmen zur Berechnung von Grundwasserständen an Referenzmessstellen auf Basis der Methode Künstlicher Neuronaler Netze. 191 https://www.bgr.bund.de/DE/Themen/Wasser/Projekte/laufend/F+E/Mentor/mentor-abschlussbericht- I.pdf?_blob=publicationFile&v=2 (2020).38. Frick, C. et al. Central European high-resolution gridded daily data sets (HYRAS): Mean temperature and relative humidity. Meteorologische Zeitschrift 23, 15–32 (2014).39. Rauthe, M., Steiner, H., Riediger, U., Mazurkiewicz, A. & Gratzki, A. A Central European precipitation climatology – Part I: Generation and validation of a high-resolution gridded daily data set (HYRAS). Meteorol. Z. 22 (2013) doi:10.1127/0941-2948/2013/0436.40. LeCun, Y., Bengio, Y. & Hinton, G. Deep learning. Nature 521, 436–444 (2015).41. Nogueira, F. Bayesian Optimization: Open source constrained global optimization tool for Python. (2014).
+
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+47. Reback, J. et al. pandas-dev/pandas: Pandas 1.0.3. (Zenodo, 2020). doi:10.5281/ZENODO.3509134.
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+
+<|ref|>sub_title<|/ref|><|det|>[[44, 420, 138, 445]]<|/det|>
+## Figures
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[38, 40, 722, 545]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[44, 562, 111, 580]]<|/det|>
+Figure 1
+
+<|ref|>text<|/ref|><|det|>[[42, 601, 947, 687]]<|/det|>
+Absolute changes of total annual precipitation sums (A) and annual average temperature (B) projected by climate models for the relevant sites used in this study. Single squares depict results of a single projection, ordered by the strength and sign of the change. A2 and B2 summarize all significant (p < 0.05) results from A1 and B1, Tables (A3 and B3) give detailed numbers on the boxplots.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[42, 40, 680, 750]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[44, 761, 113, 780]]<|/det|>
+Figure 2
+
+<|ref|>text<|/ref|><|det|>[[42, 801, 950, 888]]<|/det|>
+Change of groundwater level \([\% ]\) in 2100 relative to 2014 (start of sim.) for each site and each climate projection, based on a linear trend analysis: A) mean, B) \(97.5\%\) quantile, D) \(2.5\%\) quantile; the order corresponds to the strength and sign of the change. C) Boxplots showing the significant changes for A, B, D as well as the \(25\%\) and \(75\%\) quantiles. Black boxes mark four sites (A- D) shown in detail in Figure 3.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[42, 45, 648, 750]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[44, 761, 113, 781]]<|/det|>
+Figure 3
+
+<|ref|>text<|/ref|><|det|>[[42, 802, 930, 866]]<|/det|>
+Detailed results on four sites (marked by black boxes in Figure 2): Time series plots of the far future (2070- 2100) simulation results (A1- D1); Heatmap plots (A2- D2) of the whole simulation for each of the projections with columns as weeks during the year and rows as the year (up: 2104 – down: 2100).
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[40, 40, 690, 750]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[44, 761, 113, 781]]<|/det|>
+Figure 4
+
+<|ref|>text<|/ref|><|det|>[[42, 802, 947, 867]]<|/det|>
+Means of the significant trends of the mean (A), the \(97.5\%\) (B) and the \(2.5\%\) (E) quantiles shown also in Figure 2. Subplot C shows the associated boxplots (also for \(25\%\) and \(75\%\) quantiles) and the corresponding absolute changes (lower boxplots). Tables in D show detailed numbers describing the boxplots.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[39, 40, 460, 504]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[43, 523, 113, 540]]<|/det|>
+Figure 5
+
+<|ref|>text<|/ref|><|det|>[[42, 561, 914, 603]]<|/det|>
+Shift of the annual minimum in weeks until 2100 compared to the start of the simulation (2014). Negative means earlier, positive later during the annual cycle.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[40, 50, 770, 411]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[44, 435, 113, 453]]<|/det|>
+Figure 6
+
+<|ref|>text<|/ref|><|det|>[[42, 474, 930, 515]]<|/det|>
+Position, type of aquifer and depth to groundwater for each study site, B: time series length of all study sites North- South ordered.
+
+<|ref|>image<|/ref|><|det|>[[50, 515, 760, 653]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[44, 669, 113, 687]]<|/det|>
+Figure 7
+
+<|ref|>text<|/ref|><|det|>[[42, 708, 860, 751]]<|/det|>
+A) Model performance of all models for the test-set (2012-2016), B) time series splitting scheme for optimization (upper) and retraining (lower).
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[42, 41, 737, 545]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[44, 566, 113, 583]]<|/det|>
+Figure 8
+
+<|ref|>text<|/ref|><|det|>[[42, 605, 909, 647]]<|/det|>
+A) Optimized model evaluation in the past for the test set (2012-2016), B) Model output under an artificial extreme climate scenario in the past, C) SHAP Summary plot
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 668, 297, 694]]<|/det|>
+## Supplementary Files
+
+<|ref|>text<|/ref|><|det|>[[44, 715, 728, 735]]<|/det|>
+This is a list of supplementary files associated with this preprint. Click to download.
+
+<|ref|>text<|/ref|><|det|>[[60, 752, 364, 771]]<|/det|>
+- SupportingInformation100MB.pdf
+
+<--- Page Split --->
diff --git a/preprint/preprint__029b063b4c7e6cb6f98cd7272f8ba5aae91cfdac89a5b03027277558d21a4027/images_list.json b/preprint/preprint__029b063b4c7e6cb6f98cd7272f8ba5aae91cfdac89a5b03027277558d21a4027/images_list.json
new file mode 100644
index 0000000000000000000000000000000000000000..44c1c4e84168a398eaff68ea3d5bc37339922316
--- /dev/null
+++ b/preprint/preprint__029b063b4c7e6cb6f98cd7272f8ba5aae91cfdac89a5b03027277558d21a4027/images_list.json
@@ -0,0 +1,62 @@
+[
+ {
+ "type": "image",
+ "img_path": "images/Figure_1.jpg",
+ "caption": "Figure 1. Design and structural characterization of METPsc1. a, crystal structure of \\(C_p\\) Rd V44A mutant (PDB ID: 1C09). b, miniaturized model, obtained by applying a \\(C_2\\) longitudinal rotation to the Val38-Glu50 fragment of Cp Rd V44A. c, superimposition of the 4-residue loops found with the fragment search. d, single-chain METP prototype, obtained by combination of the \\(C_2\\) -symmetric dimer with the type I' beta turn selected from the search. e, designed model of ZnMETPsc1.",
+ "footnote": [],
+ "bbox": [
+ [
+ 200,
+ 90,
+ 833,
+ 560
+ ]
+ ],
+ "page_idx": 6
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_2.jpg",
+ "caption": "Figure 2. ZnMETPsc1 structural characterization. a, Metal ion, all sidechains, and N- and C- terminal capping groups are clearly visible in the electron density map (2Fc-Fc. map, 1.3 \\(\\sigma\\) level). b, The monomeric X-ray structure of ZnMETPsc1 (cyan, this work, PDB ID: 5sbg) closely matches the designed model (light brown). c, Description of secondary structural elements found in ZnMETPsc1 structure (blue: \\(\\beta\\) -strand; red: \\(\\alpha\\) -turn; gray: \\(\\beta\\) -buldge; green: \\(3_{10}\\) -helix; orange: type I \\(\\beta\\) -turn). Dashed lines represent backbone to backbone H-bonds. d, First coordination sphere shows the expected coordination bond distances between zinc and cysteine sulfur atoms. e, Second coordination sphere involving amide of Ala7 and Ala22 exacerbates H-bond strength with respect to wt Cp Rd. f, The H-bond donors from sidechains of Asn19 and a symmetry-related Arg26 (in cyan) to METPsc1 partners are indicated.",
+ "footnote": [],
+ "bbox": [
+ [
+ 192,
+ 90,
+ 770,
+ 390
+ ]
+ ],
+ "page_idx": 9
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_3.jpg",
+ "caption": "Figure 3. FeMETPsc1 spectroscopic and electrochemical characterization. a, UV-Vis titration of METPsc1 with \\(\\mathrm{Fe}^{2 + }\\) , absorbances at 311 nm are reported in the inset (black squares) and fitted by a 1:1 binding isotherm (red dashed line). Mohr's salt (36mM) aliquots were added to a \\(30~\\mu \\mathrm{M}\\) METPsc1 solution in a \\(20~\\mathrm{mM}\\) HEPES buffer (pH 7) and \\(1\\mathrm{mM}\\) TCEP. b, c, UV-Vis and CD spectra of the reduced (black line) and oxidized (red line) FeMETPsc1 (40 \\(\\mu \\mathrm{M}\\) ) species. d, X-band CW-EPR spectrum of \\(\\mathrm{Fe}^{3 + }\\) METPsc1 (0.5 mM) in \\(20~\\mathrm{mM}\\) phosphate buffer (pH 7) and \\(5\\mathrm{mM}\\) TCEP at \\(4.5\\mathrm{K}\\) . e, Cyclic voltammograms of FeMETPsc1 (80 \\(\\mu \\mathrm{M}\\) ) as a function of scanning rate were recorded in \\(40~\\mathrm{mM}\\) HEPES buffer (pH 7) and \\(0.3\\mathrm{M}\\) KCl. Each voltammogram is the last of three consecutive scans.",
+ "footnote": [],
+ "bbox": [
+ [
+ 180,
+ 90,
+ 820,
+ 522
+ ]
+ ],
+ "page_idx": 11
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_4.jpg",
+ "caption": "Figure 4. Photoinduced electron transfer from \\(\\mathrm{ZnMC6^{*}a}\\) (40 \\(\\mu \\mathrm{M}\\) ) to \\(\\mathrm{Fe}^{3 + }\\mathrm{METPsc1}\\) (50 \\(\\mu \\mathrm{M}\\) ). a, reaction scheme of the synthetic electron cascade. b, experimental setup showing the LED strip wrapped around the UV cuvette under Ar atmosphere. c, superimposed UV-Vis spectra of \\(\\mathrm{Fe}^{3 + }\\mathrm{METPsc1}\\) (black trace) and \\(\\mathrm{Fe}^{2 + }\\mathrm{METPsc1}\\) (red trace) in the presence of \\(\\mathrm{ZnMC6^{*}a}\\) (40 \\(\\mu \\mathrm{M}\\) ) and triethylamine (4 mM). d, redox cycling of FeMETPsc1 monitored at \\(496~\\mathrm{nm}\\) and \\(314~\\mathrm{nm}\\) . Green boxes correspond to light irradiation.",
+ "footnote": [],
+ "bbox": [
+ [
+ 172,
+ 90,
+ 825,
+ 590
+ ]
+ ],
+ "page_idx": 14
+ }
+]
\ No newline at end of file
diff --git a/preprint/preprint__029b063b4c7e6cb6f98cd7272f8ba5aae91cfdac89a5b03027277558d21a4027/preprint__029b063b4c7e6cb6f98cd7272f8ba5aae91cfdac89a5b03027277558d21a4027.mmd b/preprint/preprint__029b063b4c7e6cb6f98cd7272f8ba5aae91cfdac89a5b03027277558d21a4027/preprint__029b063b4c7e6cb6f98cd7272f8ba5aae91cfdac89a5b03027277558d21a4027.mmd
new file mode 100644
index 0000000000000000000000000000000000000000..c9aaeb5d1f4e92de20f818151391390ac79f03b2
--- /dev/null
+++ b/preprint/preprint__029b063b4c7e6cb6f98cd7272f8ba5aae91cfdac89a5b03027277558d21a4027/preprint__029b063b4c7e6cb6f98cd7272f8ba5aae91cfdac89a5b03027277558d21a4027.mmd
@@ -0,0 +1,331 @@
+
+# Designed Rubredoxin miniature in a fully artificial electron chain triggered by visible light
+
+Marco Chino University of Naples Federico II https://orcid.org/0000- 0002- 0436- 3293
+
+Luigi Di Costanzo University of Naples Federico II
+
+Linda Leone University of Naples Federico II
+
+Salvatore La Gatta University of Naples Federico II
+
+Antonino Famulari University of Torino
+
+Mario Chiesa University of Torino https://orcid.org/0000- 0001- 8128- 8031
+
+Angela Lombardi ( \(\square\) alombard@unina.it) University of Naples Federico II https://orcid.org/0000- 0002- 2013- 3009
+
+Vincenzo Pavone Università di Napoli
+
+## Article
+
+Keywords: Metalloproteins, de novo design, iron- sulfur cluster, electron cascades, photo- induced 17 electron transfer
+
+Posted Date: April 4th, 2022
+
+DOI: https://doi.org/10.21203/rs.3.rs- 1473985/v1
+
+License: © \(\circledast\) This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+<--- Page Split --->
+
+# Designed Rubredoxin miniature in a fully artificial
+
+# electron chain triggered by visible light
+
+Marco Chino1, Luigi Franklin Di Costanzo2, Linda Leone1, Salvatore La Gatta1, Antonino Famulari3,4, Mario Chiesa3, Angela Lombardi1\* and Vincenzo Pavone1\*.
+
+1. Department of Chemical Sciences, University of Naples Federico II. Via Cintia 21, 80126 Napoli, Italy.
+2. Department of Agricultural Sciences, University of Naples Federico II. Via Università 100, 80055 - Portici (NA), Italy.
+3. Department of Chemistry, University of Torino. Via Giuria 9, 10125 Torino, Italy.
+4. Department of Condensed Matter Physics, University of Zaragoza, Calle Pedro Cerbuna 12, 50009 Zaragoza, Spain.
+
+Correspondence to: alombard@unina.it; vipavone@unina.it
+
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+
+## Abstract
+
+Designing metal sites into de novo proteins has significantly improved, recently. However, identifying the minimal coordination spheres, able to encompass the necessary information for metal binding and activity, still represents a big challenge, today. Here, we tested our understanding with a benchmark, nevertheless difficult, case. We assembled in a small 28- residue peptide the quintessential elements required to correctly fold around a single iron redox center, coordinated to four cysteinyl thiolates (FeCys4 site), and to efficiently function in electron- transfer. This study represents a milestone in de novo protein design: for the first time the crystal structure of a designed tetra- thiolate metal- binding protein is reported within sub- A agreement with the intended design. This allowed us to well correlate structure to spectroscopic and electrochemical properties. Given its high reduction potential compared to natural and designed FeCys4- containing proteins, we exploited it as terminal electron acceptor of a fully artificial chain triggered by visible light.
+
+Keywords: Metalloproteins; de novo design; iron- sulfur cluster; electron cascades; photo- induced electron transfer.
+
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+## Main
+
+Electron transport chains play a central role in many life- sustaining functions from respiration \(^{1,2}\) , to light harvesting \(^{3,4}\) . They involve two or more redox active metalloproteins, with one or more metal cofactors bound in their interior. These metal cofactors are highly conserved in their first coordination sphere, and the surrounding residues intimately modulate their electronic structure. A wide range of reduction potentials can be achieved, thus generating the driving force of electron cascades. The protein matrix also drives the mutual orientation of these cofactors, by subtly evolved self- assembly processes, fundamentally regulating electron- transfer. Thus, it is imperative in metalloprotein design to develop finely tunable redox- active metal sites, amenable for photo- induced electron trafficking and bioenergy control. Previous work has been focused on charge- separation/recombination at purposely optimized abiotic cofactors \(^{5,6}\) , electron transfer towards natural acceptors \(^{7,8}\) , injection into titanium- based photoanodes \(^{9}\) , as well as intraprotein electron transfer between two different cofactors \(^{10,11}\) . In this work, we explore two small proteins, designed from scratch, to achieve for the first time in protein design the construction of a fully artificial electron chain triggered by visible light.
+
+In Nature, most of the redox proteins involved in electron trafficking and bioenergy control is represented by cupredoxins \(^{12,13}\) , cytochromes \(^{14,15}\) , and iron- sulfur proteins \(^{16 - 18}\) . Rds represent the simplest and most studied case. They bind a single iron ion through four Cys \(\mathrm{Sy}\) with an almost tetrahedral geometry and they can cycle between the oxidation states (II) and (III). Rds (45–55 amino acids) adopt a \(C_2\) - pseudo- symmetric fold constituted by two symmetry- related CXXCX \(\alpha\) - turns \(^{19}\) . Despite well- conserved backbones and sequences (50–60% sequence identity), their reduction potential varies in the range -100/+50 mV in prokaryots and could reach 125 mV (vs SHE) in eukaryots, as well as in the closely related rubberythrin \(^{16}\) . Mutagenesis studies have dissected the role of the second coordination sphere in modulating Rds potential \(^{17,20 - 22}\) , and some double mutants have shown that the effect of mutations is generally additive \(^{23}\) . In this respect,
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+several studies of rational redesign and fully de novo design have targeted the Rd system. Among these, some groups have focused on alternative metal ions, using the \(\mathrm{S}_4\) site as a surrogate of more complex catalysts, such as [NiFe] hydrogenases or molybdenumzymes \(^{22,24}\) . Others have installed the tetrahedral \(\mathrm{FeCys_4}\) site in structurally different natural and de novo proteins \(^{25 - 27}\) . We, and others, have focused on the Rd prototypical structural unit, making use of its intrinsic symmetry to build a miniaturized peptide scaffold \(^{28 - 31}\) .
+
+In this context, we describe the design and characterization of a single- chain high- potential miniaturized electron transfer protein (named METPsc1) based on the \(\mathrm{FeCys_4}\) metal cofactor. In doing so, we address three challenges in de novo metalloprotein design. First, we implanted a \(\mathrm{FeS_4}\) site into a de novo protein, closely matching the highest reported reduction potential in the Rd family; secondly, we obtained the first X- ray structure of a tetra- thiolate metalloprotein designed from scratch, within sub- A agreement with the intended design; thirdly, and most important, we established a fully artificial photo- induced electron cascade, exploiting the newly developed protein as terminal electron acceptor. The photosensitizer unit (ZnMC6\*a) used in this process is itself an artificial protein, belonging to the class of synthetic metalloporphyrin- containing proteins, named Mimochromes \(^{32 - 34}\) . Taken together, our results demonstrate that such miniaturized proteins might be exploited in optoelectronics and light- harvesting biodervices.
+
+## Results and Discussion
+
+## Design of a single-chain miniaturized \(\mathrm{FeS_4}\) protein
+
+The first goal of this work consists in the design of a high potential miniprotein, leveraging from the wealth of mutagenesis studies on Rds. Rd from Clostridium pasteurianum (Cp) has been a central player in unraveling the factors that affect the reduction potential of the \(\mathrm{FeCys_4}\) metal site \(^{16,17}\) . It was shown that Fe(II) stability can be related to the number and the strength of H- bonds
+
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+involving the coordinating Sy atoms. Though double and triple mutants of Rd have been reported, several single- point mutations at once may perturb the global fold or alter the expression profile22,23. More intensive protein engineering routines, such as directed evolution, are generally needed to adapt the protein, and host the desired mutations. De novo design provides a remarkable alternative, which allows incorporating all the desired mutations at once, and generating the most suited structural arrangement for testing and refining folding and functions, such as redox potential.
+
+In our preview studies, the designed protein METP was recognized as a minimal unit needed to reproduce Rds by retrostructural analysis30. Two short undecapeptides are related by a twofold axis around a central metal ion as in Rd. Despite METP spectroscopic characterization indicated the expected structural arrangement when coordinated to different metal ions, its iron complex was unable to perform reversible redox cycles. An auto- redox reaction may account for the observed instability of the Fe(III)- tetrathiolate complex, with Fe(III) reduction to Fe(II), and disulfide formation.
+
+In recent studies, sacrificing symmetry to generate monomeric analogs has been identified as a common strategy to solve this stability issue28,29,35- 37. We generated new backbone coordinates by miniaturization and symmetry considerations, following the early METP design. We began from the high- resolution structure of the reduced V44A mutant of \(C_p\) Rd, which represents one of the high- potential mutants (Figure 1a, PDB ID: 1c09)21. The segment from Val38 to Glu50 was dissected from the protein, and the \(C_2\) longitudinal axis was applied (Figure 1b) to generate the dimer coordinates. We then performed a systematic search to find the best fragment linking N- (Val38) and C- termini (Glu50 of the symmetric copy), fixing seven residues as the maximum gap length.
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+Figure 1. Design and structural characterization of METPsc1. a, crystal structure of \(C_p\) Rd V44A mutant (PDB ID: 1C09). b, miniaturized model, obtained by applying a \(C_2\) longitudinal rotation to the Val38-Glu50 fragment of Cp Rd V44A. c, superimposition of the 4-residue loops found with the fragment search. d, single-chain METP prototype, obtained by combination of the \(C_2\) -symmetric dimer with the type I' beta turn selected from the search. e, designed model of ZnMETPsc1.
+
+We plotted the number of fragments within 1 Å backbone RMSD against the gap length (Extended Data Figure 1), and we found that a 4-residues loop represented the shortest yet designable choice to link the two ends (39 hits out of 158 total hits, Figure 1c). As expected for a 4-residues segment, simple \(\beta\) - turn motifs were found in most cases (29 out of 39). The sequence analysis of the matches revealed that both i+1 and i+2 positions were mainly occupied by Gly residues (Extended Data Figure 2), as typically observed in type I'/III' \(\beta\) turns38. 14 and 3 fragments corresponded to type I' and III' \(\beta\) turns, respectively (Supplementary Table 1). The best matching
+
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+fragment was used to generate an initial backbone model, by grafting the loop coordinates onto the previously generated Val38- Glu50 \(C_2\) - symmetric dimer (Figure 1d). This structure was then submitted to a preliminary flexible backbone design routine (see Supplementary Information). This step helped identifying some key features in terms of residue propensities at specific positions (see Supplementary Information). Moreover, in this stage we fixed 2- aminoisobutiric (Aib) residues at pseudo- symmetric positions 9 and 24 to induce the \(3_{10}\) - helix formation, as successfully accomplished in METP design. In a second design round, we instructed the packer with the results from the previous steps, and we further defined the identities of the residues at the corner positions of the CXXC motif (Figure 1e), by limiting them only to hydrophilic residues. This condition aimed at understanding the role of the H- bonding on redox potential by excluding the effect of the local dielectric environment.
+
+## ZnMETPsc1 crystal structure reveals a handful of secondary motifs
+
+The newly designed 28 residue METPsc1 miniprotein was synthesized in good yield by standard solid phase methods and characterized by X- ray diffraction analysis as zinc complex at high resolution. ZnMETPsc1 crystallizes in the orthorhombic space group C2221. The asymmetric unit of the cell contains one monomer. All protein residues were clearly identified from the electron density map and correspond to the designed protein sequence, including the N- and C- terminal acetyl and amide protecting groups, respectively (Figure 2a, Supplementary Table 2). The overall monomeric structure is quite identical to the design (Figure 2b, backbone RMSD 0.45 Å), as well as Cys and hydrophobic sidechain packing, while surface exposed sidechains adopt alternative rotamers, probably due to packing and solvation interactions. The monomer folds as a truncated cone shaped molecule (Extended Data Figure 3), with an upper base corresponding to the metal binding site near the surface formed by Cys20- Asp4 and Cys5- Asn19 residues. The hydrophobic residues Aib9, Val12, Aib24 and Ile27, facing each other, with sidechains nearly aligned on a plane, form the lower base. Notably, Cys2 and Cys17, the other two cysteine residues completing the
+
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+coordination sphere, occupy the innermost space of the whole protein. All the remaining residues decorate the external surface of the conical shape, forming a highly hydrophilic surface.
+
+The observed structure is a compelling collection of secondary and super- secondary motifs, all of them collapsed into one small polypeptide chain. The pseudo two- fold symmetry axis is relating two consecutive similar segments formed by a progression of: (1) a small extended 2- residues \(\beta\) - strand; (2) an \(\alpha\) - turn with Ser- Asp- Cys as corner residues; (3) Gly \(\beta\) - buldge; (4) a small extended 2- residues \(\beta\) - strand; (5) an incipient \(3_{10}\) - helix with two consecutive \(\beta\) - turns; (6) a small extended 2- residues \(\beta\) - strand; (7) a type I' \(\beta\) - turn involving two consecutive Gly residues (Figure 2c, Supplementary Table 3 and Supplementary Information). Interestingly, \(\beta\) - strands pair to give two sets of short antiparallel \(\beta\) - sheets.
+
+The shell around the macromolecules is hydrated and the crystal packing is characterized by interactions involving symmetrically related Arg residues. The crystal packing is stabilized by intermolecular salt bridges between a crystallographic related residue of Arg26 and Asp4 (see below). In addition, interactions between Tyr16 and the equivalent residue of a crystallographic related METPsc1 molecule are observed with a 3.32 Å distance between - OH atom groups. The METPsc1 complex forms two packing large channels (Extended Data Figure 4). One central channel of a larger diameter ( \(\sim 12 \text{Å}\) ), around the \(C\) - centered midpoint of the space group \(C_{2221}\) , is surrounded by negatively charged Asp residues. The second channel is formed by crystallographic binary axes and aligned by several positively charged Arg residues.
+
+First and second sphere interactions define zinc complex features
+
+\(Z n^{2 + }\) is tetrahedrally coordinated by four Cys Sy with average Sy- Zn distance of \(2.34 \pm 0.03 \text{Å}\) and Sy- Zn- Sy bond angle of \(109 \pm 4^{\circ}\) (Figure 2d), consistently with the geometry found in the twelve ultrahigh resolution rubredoxin structures retrieved from the Protein Data Bank (PDB) and containing \(Z n^{2 + }\) .
+
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+Figure 2. ZnMETPsc1 structural characterization. a, Metal ion, all sidechains, and N- and C- terminal capping groups are clearly visible in the electron density map (2Fc-Fc. map, 1.3 \(\sigma\) level). b, The monomeric X-ray structure of ZnMETPsc1 (cyan, this work, PDB ID: 5sbg) closely matches the designed model (light brown). c, Description of secondary structural elements found in ZnMETPsc1 structure (blue: \(\beta\) -strand; red: \(\alpha\) -turn; gray: \(\beta\) -buldge; green: \(3_{10}\) -helix; orange: type I \(\beta\) -turn). Dashed lines represent backbone to backbone H-bonds. d, First coordination sphere shows the expected coordination bond distances between zinc and cysteine sulfur atoms. e, Second coordination sphere involving amide of Ala7 and Ala22 exacerbates H-bond strength with respect to wt Cp Rd. f, The H-bond donors from sidechains of Asn19 and a symmetry-related Arg26 (in cyan) to METPsc1 partners are indicated.
+
+The Cys residues are arranged around the metal center with a clockwise distribution of sidechains in that \(\chi^1\) are either \(g^+\) or \(t\) for Cys5/Cys20 and Cys2/Cys17, respectively. The torsion angle
+
+\(\mathrm{Sy(Cys2) - Zn - Sy - C\beta(Cys17)}\) is \(180^{\circ}\) while the pseudo- symmetry- related torsion angle is \(\mathrm{Sy(Cys6)}\) - \(\mathrm{Zn - Sy - C\beta(Cys20)}\) is \(159^{\circ}\)
+
+The second coordination shell is characterized by H- bonds involving Cys \(\mathrm{Sy}\) and backbone N- H donors, similarly to natural Rds (Supplementary Table 4). Cys2 accepts H- bonds from backbone amide groups of Asp4 and Cys5, the same occurring for the symmetry related Cys17 (Asn19 and Cys20 backbone amides). The designed sequence presents Ala residues at positions 7 and 22, being sufficiently small to let their own backbone N- H to H- bond Cys5 and Cys20 \(\mathrm{Sy}\) , respectively (Figure 2e). The strength of this H- bond has previously been correlated to the reduction potential,
+
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+1 as shown for \(C_p\) Rd mutants of Val4420. Moreover, positions 4 and 19 of METPsc1 (Figure 2f) 2 correspond to position 41 of \(C_p\) Rd, the latter being crucial for the solvent accessibility and H- 3 bonding of Cys9 in \(C_p\) Rd39. In our model, it is reasonable to hypothesize that Asp4 residue would 4 drive water access towards Cys20. Asn19 residue donates its sidechain amide protons to Cys5 \(S_y\), 5 further decreasing its electron density (Figure 2e). Cys20 \(S_y\) accepts a H-bond from sidechain 6 guanidine group of a crystallographically related Arg26, mimicking a water molecule as observed 7 in L41A \(C_p\) Rd X-ray structure (Figure 2f).
+
+8 Structure correlates with function as assessed by spectroscopy and voltammetry
+
+9 Spectroscopic and electrochemical studies were performed to analyze the METPsc1 behavior 10 in solution and to correlate structural to functional properties. Iron binding and coordination 11 geometry was assessed by a combination of UV-Vis absorption, CD, and EPR spectroscopies 12 (Table 1)40- 42. METPsc1 forms a 1:1 complex with \(\mathrm{Fe}^{2 + }\) at pH 6.8, as assessed by Mohr salt titration 13 of the apo peptide, under inert atmosphere (Figure 3a). The data were well described by a binding 14 isotherm with an apparent \(\mathrm{K_D} \leq 300 \mathrm{nM}\) .
+
+Table 1. Spectroscopic parameters of FeMETPsc1 and \(C_p\) Rd in Fe(II) and Fe(III) oxidation states.
+
+ | | Fe2+ METPsc1 | Fe2+ Cp Rd | Fe3+ METPsc1 | Fe3+ Cp Rd |
311 (7.73), 331 (4.43) | 311 (10.8), 333 (6.3)40 |
| UV-Vis | λ/nm (e/mM-1 cm-1) | | | | 345 (7.28), | 350 (7.00), |
| 370 (8.33), | 380 (7.70), |
| 494 (6.54), | 490 (6.60), |
| CD | λ/nm (+/-) | 312(-), 333(+) | | 314(-), 335(+)42 | 570 (3.13), | 570 (3.20), |
| 745 (0.33) | 750 (0.35)41 |
| 437(+), 502(-), | 437(+), 500(-), |
| 557(+), 632(-) | 560(+), 635(-)42 |
| EPR | geff | - | - | - | 9.15, 4.26 | 9.4, 4.340 |
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+Figure 3. FeMETPsc1 spectroscopic and electrochemical characterization. a, UV-Vis titration of METPsc1 with \(\mathrm{Fe}^{2 + }\) , absorbances at 311 nm are reported in the inset (black squares) and fitted by a 1:1 binding isotherm (red dashed line). Mohr's salt (36mM) aliquots were added to a \(30~\mu \mathrm{M}\) METPsc1 solution in a \(20~\mathrm{mM}\) HEPES buffer (pH 7) and \(1\mathrm{mM}\) TCEP. b, c, UV-Vis and CD spectra of the reduced (black line) and oxidized (red line) FeMETPsc1 (40 \(\mu \mathrm{M}\) ) species. d, X-band CW-EPR spectrum of \(\mathrm{Fe}^{3 + }\) METPsc1 (0.5 mM) in \(20~\mathrm{mM}\) phosphate buffer (pH 7) and \(5\mathrm{mM}\) TCEP at \(4.5\mathrm{K}\) . e, Cyclic voltammograms of FeMETPsc1 (80 \(\mu \mathrm{M}\) ) as a function of scanning rate were recorded in \(40~\mathrm{mM}\) HEPES buffer (pH 7) and \(0.3\mathrm{M}\) KCl. Each voltammogram is the last of three consecutive scans.
+
+Such value is dramatically lower than those we previously observed for the dimeric METP (one and two order of magnitude, respect to \(\mathrm{Zn}^{2 + }\) and \(\mathrm{Co}^{2 + }\) , respectively), most probably attributable to the enhanced chelate effect granted by the monomeric protein. METPsc1 is a tighter ligand for iron when compared to other previously designed monomeric constructs27,28, but still looser than a previously reported zinc- finger inspired cyclic scaffold29.
+
+When exposed to air, \(\mathrm{Fe}^{2 + }\) complex readily oxidizes to the ferric state. We collected UV- Vis and CD spectra of both reduced and oxidized forms. Absorption spectra for both oxidation states
+
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+show the Rd characteristic LMCT bands of tetrahedral thiolate donors (Figure 3b). In addition, their extinction coefficients are in striking agreement with those reported for \(C_p\) Rd (Table 1). CD positive and negative Cotton effects alternate as previously reported for the ferric state \(^{42}\) and lead to the assignment of at least six transitions in the visible region (Figure 3c), four of which match those found in \(C_p\) Rd (Table 1), and in other designed models \(^{27,29}\) .
+
+The complex was also characterized by X- band Continuous Wave (CW)- EPR spectroscopy (Figure 3d). The observed resonances, \(g_{\mathrm{eff}} = 9.15\) and 4.26, match those of a high- spin \(\mathrm{Fe}^{3 + }\) (S=5/2) center, consistent with a rhombic distortion E/D of about 0.22 and a positive D value, as observed for \(C_p\) Rd and sulfur ligated ferric iron model compounds \(^{29,43}\) . Taken together, spectroscopic data demonstrate that both \(\mathrm{Fe}^{2 + }\) and \(\mathrm{Fe}^{3 + }\) are tightly bound into a tetrathiolate environment as in natural Rds, both in geometry and electronic structure.
+
+Once established the high binding affinity of METPsc1 for iron in both oxidation states, we analyzed whether the protein accomplishes reversible redox cycles. We performed a typical redox- cycling experiment following changes of the characteristic \(\mathrm{Fe}^{3 + }\) METPsc1 band at 494 nm. We cyclically oxidized iron upon exposure to air, followed by argon purge and reduction by sodium dithionite addition (Extended Data Figure 5). A protein solution (40 μM, pH 7) was subjected to at least nine consecutive and reversible redox cycles, without dramatic loss of the protein signal upon recycling (Extended Data Figure 6), similarly to other redox- cycling Rd mimics \(^{27 - 29}\) . The last of 9 oxidation processes recovered approximately 50% of the expected \(\mathrm{Fe}^{3 + }\) METPsc1 signal, suggesting that more cycles could be performed. These results demonstrate that FeMETPsc1 can reversibly switch between ferrous and ferric states in diffusion under excess of reductant (dithionite) or oxidant (dioxygen), respectively.
+
+A fundamental test of the correctness of our design came from electrochemical measurements. A double mutant in positions Tyr11 and Val44 of \(C_p\) Rd has never been reported to date (Ala7 and Ala22, respectively in METPsc1), and thus it is of particular interest to analyze METPsc1
+
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+1 electrochemistry. We, therefore, performed cyclic voltammetry experiments at different scan rates 2 in which a glassy carbon electrode was immersed in a solution of \(80\mu \mathrm{M}\) FeMETPsc1 (pH 7), using 3 0.3 M KCl as electrolyte (Figure 3e). FeMETPsc1 gave measurable currents in the range of 2.5 - 4 50 mV/s, displaying a quasi-reversible behavior with reduction potential centered at \(E^{\prime \prime} = 121\mathrm{mV}\) 5 (vs SHE), with \(\Delta E_{\mathrm{p}}\) in the range 59- 136 mV. This high potential was our design goal, and it is not 6 surprising considering the crystallographic data. Its value surpasses the classical range for 7 prokaryotic Rds, and closely matches the potential of rubrerythrins \(^{16,23}\) . The number and strength of 8 H-bonds in the second coordination sphere (Ala7, Ala22, Asn19, Arg27) significantly decrease the 9 electron density of sulfur donors, thus favoring the ferrous state. Randles- Ševčik analysis has been 10 used to evaluate the diffusion coefficients of the reduced and oxidized species (Extended Data 11 Figure 7). They are \(0.92 10^{- 6}\) and \(1.4 10^{- 6}\mathrm{cm}^{2}\mathrm{s}^{- 1}\) for the reduced and oxidized forms, respectively, 12 in reasonable agreement with the value calculated from the crystallographic model (1.47 \(10^{- 6}\mathrm{cm}^{2}\) 13 \(\mathrm{s}^{- 1}\) ).
+
+## Definition of an artificial photo-triggered electron cascade
+
+FeMETPsc1 possesses a significantly high reduction potential, and the \(\mathrm{Fe}^{3 + }\) reduction is accompanied by a clear change in the visible spectrum. To test whether FeMETPsc1 could represent the final electron acceptor of an electron transport chain, a photo- triggered reduction experiment was designed (Figure 4a).
+
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+Figure 4. Photoinduced electron transfer from \(\mathrm{ZnMC6^{*}a}\) (40 \(\mu \mathrm{M}\) ) to \(\mathrm{Fe}^{3 + }\mathrm{METPsc1}\) (50 \(\mu \mathrm{M}\) ). a, reaction scheme of the synthetic electron cascade. b, experimental setup showing the LED strip wrapped around the UV cuvette under Ar atmosphere. c, superimposed UV-Vis spectra of \(\mathrm{Fe}^{3 + }\mathrm{METPsc1}\) (black trace) and \(\mathrm{Fe}^{2 + }\mathrm{METPsc1}\) (red trace) in the presence of \(\mathrm{ZnMC6^{*}a}\) (40 \(\mu \mathrm{M}\) ) and triethylamine (4 mM). d, redox cycling of FeMETPsc1 monitored at \(496~\mathrm{nm}\) and \(314~\mathrm{nm}\) . Green boxes correspond to light irradiation.
+
+Triethylamine (TEA) was chosen as sacrificial reductant, and FeMETPsc1 as oxidant, whilst a newly synthesized \(\mathrm{Zn}^{2 + }\) derivative of Mimochrome \(\mathrm{VI^{*}a}\) (ZnMC6\*a) was used as photosensitizer \(^{32}\) . Zinc tetrapyrroles have been already used in designed and engineered metalloproteins, and they showed peculiar time-resolved spectroscopic features \(^{44}\) , intra-molecular ET processes \(^{5,6,10}\) , and allosteric modulation \(^{45}\) . However, this photoactive cofactor has never been used to transfer electrons from one protein to another. Therefore, a simple experiment was carried
+
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+out by following FeMETPsc1 UV/Vis- spectrum differences upon reduction/oxidation due to green light exposition (Figure 4b).
+
+When a solution containing \(4\mathrm{mM}\) TEA, \(50~\mu \mathrm{M}\) \(\mathrm{Fe}^{2 + }\mathrm{METPsc1}\) , and \(40~\mu \mathrm{M}\) ZnMC6\\*a was purged with air, a \(496\mathrm{nm}\) band of the oxidized \(\mathrm{[FeCys_4]^{1 - }}\) appeared (Figure 4c,d), demonstrating that iron oxidation at METPsc1 was not affected by TEA and ZnMC6\\*a. When the solution was exposed to green light irradiation for 25 minutes under argon atmosphere, complete disappearance of the ferric charge- transfer band was observed. A band at \(314~\mathrm{nm}\) concomitantly appeared, characteristic of the reduced \(\mathrm{[FeS_4]^{2 - }}\) species, close to the previously observed maximum at 311 nm, with a slight shift due to superposition with the zinc porphyrin spectrum. These results clearly demonstrate \(\mathrm{Fe}^{3 + }\mathrm{METPsc1}\) reduction upon light exposure. As a final proof of the artificial photoelectron transfer chain, the system was exposed again to air and then to green light irradiation. As expected, air oxidized FeMETPsc1, and then after 15 minutes of irradiation, it was reduced back with formation of a peak at \(314~\mathrm{nm}\) . However, complete disappearance of the band in the visible region could not be observed, mostly because spectrum contribution from the zinc porphyrin was significantly altered. In turn, this could be possibly ascribed to reactive oxygen species that formed during the previous \(\mathrm{O_2}\) reduction step (Figure 4a, Extended Data Figure 8).
+
+## Conclusions
+
+The combination of powerful computational tools \(^{46,47}\) , and more recently machine learning \(^{48,49}\) , together with the genome palette (e.g., directed evolution and phage/yeast display) \(^{50,51}\) is significantly helping protein designers in increasing success rate. However, direct correlation between single point mutations and metal- dependent function still remains elusive when large scaffolds are adopted \(^{50,52}\) . Design of synthetic metalloproteins by miniaturization helps circumventing this problem by limiting the metal surroundings to only a few crucial residues \(^{53}\) . To this end, we developed by design and miniaturization a synthetic Rd, METPsc1, capable of keeping the intended structural and functional properties in a small 28- residue peptide. The availability of
+
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+1 high-resolution structure and its agreement with the designed model at sub- A level validate the 2 adopted design principles. The designed second- shell interactions revealed crucial in determining 3 one of the highest potentials amongst the Rd family. This result prompted us to generate a synthetic 4 electron transfer chain from a sacrificial electron donor (TEA) to a sacrificial acceptor (O2) by 5 means of two newly- developed synthetic mini- proteins (FeMETPsc1, ZnMC6\*a), whose overall 6 size correspond to \(\sim 6.5\mathrm{kDa}\) .
+
+In perspective, our studies provide a prototype for the generation of nanosized multicomponent mini- protein devices. They should encourage future design of small metalloproteins with predetermined structural and functional properties.
+
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+1 17. Maiti, B. K., Almeida, R. M., Moura, I. & Moura, J. J. G. Rubredoxins derivatives: Simple sulphur-rich coordination metal sites and its relevance for biology and chemistry. Coord. Chem. Rev. 352, 379- 397 (2017). 4 18. Bönisch, H., Schmidt, C. L., Schäfer, G. & Ladenstein, R. The Structure of the Soluble Domain of an Archaeological Rieske Iron-Sulfur Protein at 1.1Å Resolution. J. Mol. Biol. 319, 791- 805 (2002). 7 19. Pavone, V. et al. Discovering protein secondary structures: classification and description of isolated alpha-turns. Biopolymers 38, 705- 721 (1996). 9 20. Lin, I.- J., Gebel, E. B., Machonkin, T. E., Westler, W. M. & Markley, J. L. Changes in hydrogen-bond strengths explain reduction potentials in 10 rubredoxin variants. Proc. Natl. Acad. Sci. 102, 14581- 14586 (2005). 12 21. Eidsness, M. K. et al. Modulation of the Redox Potential of the [Fe(SCys)4] Site in Rubredoxin by the Orientation of a Peptide Dipole. Biochemistry 38, 14803- 14809 (1999). 14 22. Slater, J. W. et al. Power of the Secondary Sphere: Modulating Hydrogenase Activity in Nickel-Substituted Rubredoxin. ACS Catal. 9, 8928- 8942 (2019). 16 23. Bönisch, H., Schmidt, C. L., Bianco, P. & Ladenstein, R. Ultrahigh-resolution study on Pyrococcus abyssi rubredoxin: II. Introduction of an O- H···Sγ- Fe hydrogen bond increased the reduction potential by 65 mV. JBIC J. Biol. Inorg. Chem. 12, 1163- 1171 (2007). 19 24. Maiti, B. K. et al. Incorporation of molybdenum in rubredoxin: models for mononuclear molybdenum enzymes. JBIC J. Biol. Inorg. Chem. 20, 821- 829 (2015). 21 25. Benson, D. E., Wisz, M. S., Liu, W. & Hellinga, H. W. Construction of a Novel Redox Protein by Rational Design: Conversion of a Disulfide Bridge into a Mononuclear Iron- Sulfur Center. Biochemistry 37, 7070- 7076 (1998). 24 26. Farinas, E. & Regan, L. The de novo design of a rubredoxin-like Fe site. Protein Sci. Publ. Protein Soc. 7, 1939- 1946 (1998).
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+1 27. Tebo, A. G. et al. Development of a Rubredoxin-Type Center Embedded in a de De novo- 2 Designed Three-Helix Bundle. Biochemistry 57, 2308- 2316 (2018). 3 28. Nanda, V. et al. De Novo Design of a Redox-Active Minimal Rubredoxin Mimic. J. Am. Chem. 4 Soc. 127, 5804- 5805 (2005). 5 29. Jacques, A. et al. A cyclic peptide-based redox-active model of rubredoxin. Chem. Commun. 6 49, 2915- 2917 (2013). 7 30. Lombardi, A. et al. Miniaturized metalloproteins: Application to iron- sulfur proteins. Proc. 8 Natl. Acad. Sci. 97, 11922- 11927 (2000). 9 31. La Gatta, S. et al. Unravelling the Structure of the Tetrahedral Metal-Binding Site in METP3 10 through an Experimental and Computational Approach. Molecules 26, 5221 (2021). 11 32. Leone, L. et al. Mimochrome, a metalloporphyrin-based catalytic Swiss knife. Biotechnol. 12 Appl. Biochem. 67, 495- 515 (2020). 13 33. Le, J. M. et al. Tuning Mechanism through Buffer Dependence of Hydrogen Evolution 14 Catalyzed by a Cobalt Mini-enzyme. Biochemistry 59, 1289- 1297 (2020). 15 34. Leone, L. et al. Highly Selective Indole Oxidation Catalyzed by a Mn-Containing Artificial 16 Mini-Enzyme. ACS Catal. 11, 9407- 9417 (2021). 17 35. Ulas, G., Lemmin, T., Wu, Y., Gassner, G. T. & DeGrado, W. F. Designed metalloprotein 18 stabilizes a semiquinone radical. Nat. Chem. 8, 354- 359 (2016). 19 36. Chino, M. et al. A De Novo Heterodimeric Due Ferri Protein Minimizes the Release of 20 Reactive Intermediates in Dioxygen-Dependent Oxidation. Angew. Chem. Int. Ed. 56, 15580- 21 15583 (2017). 22 37. Grzyb, J. et al. Empirical and computational design of iron- sulfur cluster proteins. Biochim. 23 Biophys. Acta BBA - Bioenerg. 1817, 1256- 1262 (2012). 24 38. Chou, P. Y. & Fasman, G. D. Beta-turns in proteins. J. Mol. Biol. 115, 135- 175 (1977).
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+39. Min, T., Ergenekan, C. E., Eidsness, M. K., Ichiye, T. & Kang, C. Leucine 41 is a gate for water entry in the reduction of Clostridium pasteurianum rubredoxin. Protein Sci. 10, 613-621 (2001).
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+40. Im, S.-C. & Geoffrey Sykes, A. Kinetic studies on the redox reactions of Clostridium pasteurianum rubredoxin. J. Chem. Soc. Dalton Trans. 2219-2222 (1996).
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+41. Xiao, Z. et al. The Rubredoxin from Clostridium pasteurianum: Mutation of the Iron Cysteinyl Ligands to Serine. Crystal and Molecular Structures of Oxidized and Dithionite-Treated Forms of the Cys42Ser Mutant. J. Am. Chem. Soc. 120, 4135-4150 (1998).
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+42. Eaton, W. A. & Lovenberg, W. The Iron-Sulfur Complex in Rubredoxin. in Molecular Properties 131-162 (Elsevier, 1973). doi:10.1016/B978-0-12-456002-4.50009-5.
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+43. Peisach, J., Blumberg, W. E., Lode, E. T. & Coon, M. J. An Analysis of the Electron Paramagnetic Resonance Spectrum of Pseudomonas oleovorans Rubredoxin: a method for determination of the ligands of ferric iron in completely rhombic sites. J. Biol. Chem. 246, 5877-5881 (1971).
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+44. Polizzi, N. F. et al. De novo design of a hyperstable non-natural protein-ligand complex with sub-Å accuracy. Nat. Chem. 9, 1157-1164 (2017).
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+45. Pirro, F. et al. Allosteric cooperation in a de novo-designed two-domain protein. Proc. Natl. Acad. Sci. 117, 33246-33253 (2020).
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+46. Leman, J. K. et al. Macromolecular modeling and design in Rosetta: recent methods and frameworks. Nat. Methods 17, 665-680 (2020).
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+47. Zhou, J., Panaitiu, A. E. & Grigoryan, G. A general-purpose protein design framework based on mining sequence-structure relationships in known protein structures. Proc. Natl. Acad. Sci. 117, 1059-1068 (2020).
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+48. Baek, M. et al. Accurate prediction of protein structures and interactions using a three-track neural network. Science 373, 871-876 (2021).
+
+<--- Page Split --->
+
+1 49. Jumper, J. et al. Highly accurate protein structure prediction with AlphaFold. Nature 596, 583–589 (2021).2 50. Basler, S. et al. Efficient Lewis acid catalysis of an abiological reaction in a de novo protein scaffold. Nat. Chem. 13, 231–235 (2021).3 51. Rocklin, G. J. et al. Global analysis of protein folding using massively parallel design, synthesis, and testing. Science 357, 168–175 (2017).4 52. Choi, T. S. & Tezcan, F. A. Overcoming universal restrictions on metal selectivity by protein design. Nature 1–6 (2022) doi:10.1038/s41586-022-04469-8.5 53. Maglio, O., Nastri, F. & Lombardi, A. Structural and Functional Aspects of Metal Binding Sites in Natural and Designed Metalloproteins. in Ionic Interactions in Natural and Synthetic Macromolecules (eds. Ciferri, A. & Perico, A.) 361–450 (John Wiley & Sons, Inc., 2012).
+
+Computational modelling and simulation methodology is described in the Supplementary Information and in Supplementary Figures 1- 4.
+
+Solid- phase peptide synthesis.
+
+METPsc1 was synthesized by automatic solid- phase synthesis, using an ABI 433A peptide synthesizer (Applied Biosystem, Foster City, CA, USA) with standard Fmoc chemistry on a 0.1 mmol scale. The acid labile H- PAL ChemMatrix resin, with a substitution of 0.20 mmol/g, was used as solid support. Amino acids were activated in situ with 2-(7- Aza- 1H- benzotriazole- 1- yl)- 1,1,3,3- tetramethyluronium hexafluorophosphate (HATU) as coupling reagent. The N- terminal amino group was acetylated with a solution of acetic anhydride, 1- hydroxybenzotriazole (HOBt) and diisopropylethylamine (DIEA) in N- methyl- pyrrolidone (NMP). Peptide cleavage from the resin and sidechains deprotection was achieved with a mixture of trifluoroacetic acid/H2O/triisopropylsilane/ethanedithiol 9.4:0.25:0.25:0.1 (v/v/v/v), yielding to aminated C-
+
+<--- Page Split --->
+
+1 terminal. The crude peptide was precipitated in cold diethyl ether and dried under reduced pressure.2 The overall synthesis yield was \(65\%\) , based on the resin substitution.
+
+## 3 Peptide purification and analysis
+
+Peptide purification was accomplished using a Shimadzu LC- 8A preparative HPLC system (Shimadzu, Kyoto, Japan), equipped with a SPD- M10AV UV- Vis detector. A Reverse Phase Vydac C18 column (250 cm x 22 mm; 10 \(\mu \mathrm{m}\) ) was eluted with a linear gradient of \(\mathrm{H}_2\mathrm{O} 0.1\%\) TFA (eluent A) and acetonitrile \(0.1\%\) TFA (eluent B), from \(5\%\) to \(70\%\) B over 50 min at a flow rate of \(22 \mathrm{mL / min}\) .
+
+Peptide purity and identity were assessed by RP- HPLC- MS analysis (Supplementary Figures 5- 7), using a Shimadzu LC- 10ADvp equipped with an SPDM10Avp diode- array detector. ESI- MS spectra were recorded on a Shimadzu LC- MS- 2010EV system with ESI interface and a quadrupole mass analyzer. A Vydac C18 column (150 mm x 4.6 mm, 5 \(\mu \mathrm{m}\) ) was used in the LC- MS analyses, eluted with a linear gradient of \(\mathrm{H}_2\mathrm{O} 0.1\%\) TFA (eluent A) and acetonitrile \(0.1\%\) TFA (eluent B), from \(5\%\) to \(70\%\) B over 60 min at a flowrate of \(0.5 \mathrm{mL / min}\) .
+
+## Crystallography
+
+The ZnMETPsc1 complex was crystallized by the hanging drop vapor diffusion method at 20 \(^\circ \mathrm{C}\) . Typically, a drop containing \(2.0 \mu \mathrm{L}\) of 1:1 (v/v) mixture of protein solution (10 mg/mL, 7 mM DTT, 4 mM \(\mathrm{ZnCl}_2\) ) and \(2.0 \mu \mathrm{L}\) of precipitant buffer (0.1 M HEPES at pH 7.5, 1.4 M sodium citrate tribasic dihydrate) was equilibrated against \(0.5 \mathrm{mL}\) reservoir of precipitant buffer. Crystals of the ZnMETPsc1 complex appeared within 4 days and grew as long needles with typical dimension of \(0.15 \times 0.15 \times 0.5 \mathrm{mm}^3\) . Crystals were transferred to the same mother liquor solution augmented with \(30\%\) MPD solution and flash cooled. These crystals yielded diffraction data to \(1.44 \mathrm{\AA}\) resolution at the XRD1 beamline (Elettra Synchrotron Light Source, Trieste, Italy), using a wavelength of 1.000 \(\mathrm{\AA}\) , and kept at 100 K. Data were processed using XDS and POINTLESS (version 1.11.21) \(^{54,55}\) with
+
+<--- Page Split --->
+
+a data collection statistic reported in Supplementary Table 2. Crystals presented an orthorhombic unit cell with space group C2221. No twinning was detected.
+
+The structure of the ZnMETPsc1 complex was solved by molecular replacement via Phaser56, run under Phenix suite (version 1.16)57, using the designed model cleaved of the N- and C- terminal residues as a search model. The optimal solution for the positioning of one monomer in the asymmetric unit yielded a total log- likelihood gain of 21, a rotation function Z score (RFZ) = 3.2 and a translational function Z score (TFZ) = 3.7. An initial rigid- body refinement with data at 2.5 Å dropped the R/Rfree to 0.377/0.427. The program PHENIX.refine was used to anisotropically refine the model, and the graphics program COOT58 was used for structural model adjustments and inspection of Fourier residual maps. In the final stage of refinement, a total of 26 water molecules could be located. The data processing and structural refinement statistics are shown in Supplementary Table 2.
+
+Protein Data Bank has been accessed (March 11, 2022) for high- resolution Rd structures in order to determine the average \(\mathrm{M}^{2 + } - \mathrm{S}\gamma\) distance59. The search settings were: "Uniprot Molecule Name" contains "Rubredoxin", "Refinement Resolution" \(>0.5\) and \(\leq = 1.2 \mathrm{\AA}\) . A total of 25 entries were retrieved. Among them, only 4 contained \(\mathrm{Zn}^{2 + }\) as ligand, for a total of 12 independent models binding zinc in the Cys4 binding site.
+
+## UV-Vis Spectroscopy
+
+UV- Vis spectra were acquired on a Cary Varian 60 spectrophotometer, equipped with a thermoregulated cell holder and a magnetic stirrer. All buffer, protein or metal solutions were prepared with MilliQ water and purged with argon. All experiments were performed at 25°C, using rubber sealed quartz cuvettes of 1 cm pathlength. Concentration of METPsc1 was determined using a molar extinction coefficient of \(\epsilon_{276} = 2980 \mathrm{M}^{- 1} \mathrm{cm}^{- 1}\) . UV- Vis titration experiments with \(\mathrm{Fe}^{2 + }\) were performed by adding aliquots ( \(\sim 0.1\) equiv) of Mohr's salt to a solution of apo- METPsc1 (30 \(\mu \mathrm{M}\) )
+
+<--- Page Split --->
+
+1 in HEPES buffer (20 mM) pH 7 containing 1 mM TCEP. In the redox cycling experiment, a 2 solution of \(\mathrm{Fe}^{2 + }\) METPsc1 (50 \(\mu \mathrm{M}\) ) in HEPES buffer (20 mM) and TCEP (1 mM) at pH 7 was 3 sequentially purged with air to form the \(\mathrm{Fe}^{3 + }\) complex, then purged with argon and reduced with an 4 excess of sodium dithionite to restore the \(\mathrm{Fe}^{2 + }\) complex. UV- Vis spectra were acquired every 3 5 minutes.
+
+## Circular Dichroism spectroscopy
+
+7 CD spectra were recorded at \(25^{\circ}\mathrm{C}\) on a JASCO J- 815 dicrograph equipped with a 8 thermoregulated cell holder. All spectra were acquired at \(0.2\mathrm{nm}\) intervals with \(20\mathrm{nm / min}\) scan 9 speed, using quartz cells of \(1\mathrm{cm}\) pathlength. Spectra in the far- UV region (190 - 260 nm) were 10 acquired for apo- and \(\mathrm{ZnMETPsc1}\) (50 \(\mu \mathrm{M}\) ) in phosphate buffer (5 mM) at pH 7 (Supplementary 11 Figure 8). The Zn complex was formed by addition of \(\mathrm{ZnCl}_2\) (1.5 equiv) to apoMETPsc1. Spectra 12 in the UV- visible region (300 - 800 nm) were collected for the oxidized and reduced forms of 13 FeMETPsc (40 \(\mu \mathrm{M}\) ) in HEPES buffer (20 mM) at pH 7. The \(\mathrm{Fe}^{2 + }\) complex was prepared by addition 14 of Mohr's salt (1.5 equiv) to an argon purged solution of METPsc1. The latter was then purged 15 with air to obtain the \(\mathrm{Fe}^{3 + }\) complex.
+
+## Electron Paramagnetic Resonance spectroscopy
+
+17 For the EPR study, \(\mathrm{Fe}^{3 + }\) METPsc1, in \(20\mathrm{mM}\) phosphate buffer (pH 7) and \(5\mathrm{mM}\) TCEP, was 18 mixed with \(30\%\) of glycerol as glassing agent to an approximate final concentration of \(0.5\mathrm{mM}\) . 19 CW- EPR experiments were performed on a Bruker Elexys E580 X- band spectrometer (microwave 20 frequency 9.76 GHz) equipped with a cylindrical dielectric cavity and a helium gas- flow cryostat 21 from Oxford Inc. The spectrum was recorded at \(4.5\mathrm{K}\) and a microwave power of \(1\mathrm{mW}\) , a 22 modulation amplitude of \(0.7\mathrm{mT}\) and a modulation frequency of \(100\mathrm{KHz}\) were used.
+
+<--- Page Split --->
+
+1 Cyclic Voltammetry
+
+All cyclic voltammetry experiments were performed with a Potentiostat/Galvanostat \(\mu\) AUTOLAB Type III (Metrohm Autolab, Utrecht, The Netherlands) using a three- electrode cell for small volume samples (0.5- 2 mL) purchased from BASi (West Lafayette, IN, USA), under argon. Temperature controlled measurements were conducted using a thermo- cryostat R2 (Grant). For all the measurement, a \(3\mathrm{mm}\) - diameter glassy carbon electrode (GCE, BASi) was used as working electrode. A Pt wire and an Ag|AgCl NaCl 3 M electrodes (BASi) were used as counter and reference electrode \(\mathrm{(E^{\circ} = 0.206V)}\) , respectively. Acquired data was processed by GPES software package.
+
+Cyclic voltammetry experiments on freely diffusing FeMETPsc1 were performed by adapting a previously published procedure, at \(15^{\circ}\mathrm{C}^{60}\) . A \(5\mu \mathrm{L}\) drop of a \(0.76\mathrm{mM}\) METPsc1 solution in water was deposited on a square piece of a Spectra/Por (Biotech CE MWCO \(0.5 - 1\mathrm{kDa}\) ), and \(0.2\mu \mathrm{L}\) of a \(100\mathrm{mM}\) Mohr's salt solution were added to it. Then, the polished GCE was pressed against the membrane and an O- ring, to form a solution layer. The electrode was then immersed in \(20\mathrm{mM}\) HEPES buffer and \(0.3\mathrm{M}\) KCl at pH 7 for 5 minutes to reconstitute the protein. The sample volume in the electrochemical cell was \(2.0\mathrm{mL}\) . CV measurements were performed three times in the range \(2.5 - 50\mathrm{mV / s}\) of scan speed, and the third voltammogram was used to perform the analysis. Diffusion coefficient of the crystallographic model was calculated by HYDRONMR71.
+
+## Photo-induced electron transfer
+
+ZnMC6\\*a was synthesized according to previously described procedures.61 A solution of \(\mathrm{Fe}^{2 + }\) METPsc1 ( \(50\mu \mathrm{M}\) ), ZnMC6\\*a ( \(40\mu \mathrm{M}\) ) and triethylamine ( \(4\mathrm{mM}\) ) in HEPES buffer ( \(20\mathrm{mM}\) ) pH 7 was prepared and placed in a rubber sealed UV- Vis cuvette. The solution was first purged with air to form the \(\mathrm{Fe}^{3 + }\) METPsc1 complex, then purged with argon prior to the photoreduction.
+
+<--- Page Split --->
+
+1 The latter was achieved by wrapping the cuvette with a green led strip ( \(\lambda_{\mathrm{max}}\) 570 nm, 5 mW/cm \(^2\) 2 per led bulb) for 25 minutes or 15 minutes during the first or the second cycle, respectively.
+
+3 Data availability
+
+4 The crystal structure of ZnMETPsc1 complex has been deposited in wwwPDB with the accession code 5sbg.
+
+6
+
+## Acknowledgements
+
+8 We wish to thank Dr. Maurizio Polentarutti for X- ray data collection and Dr. Artemis Papadaki for performing preliminary designability analysis, Prof. Flavia Nastri and Ornella Maglio for fruitful discussion and Dr. Monica Grasso for administrative support. This work was supported by Campania Region "Programma Operativo FESR Campania 2014- 2020, Asse 1" [CUP B63D18000350007] and by Italian MUR, Project SEA- WAVE 2020BKK3W9, [CUP_E69J22001140005].
+
+## Author contributions
+
+16 M.C. and V.P. conceived the project and designed the miniproteins, which S.L.G. and L.L synthesized and purified. M.C. and L.L. performed the spectroscopic characterization and the electrochemical experiments; L.F.D.C., L.L. and S.L.G. conducted the crystallization and L.F.D.C. acquired crystallographic data; L.F.D.C. and M.C. determined the X- ray crystal structure; M.Chiesa and A.F. acquired and analyzed EPR data; M.C. and L.F.D.C prepared the manuscript draft; M.C., V.P. and A.L. interpreted the data, edited and finalized the manuscript with input from all authors; V.P. and A.L. supervised the project.
+
+## Competing interests
+
+The authors declare no competing interests.
+
+<--- Page Split --->
+
+## 2 References
+
+3 54. Kabsch, W. XDS. Acta Crystallogr. D Biol. Crystallogr. 66, 125- 132 (2010). 4 55. Winn, M. D. et al. Overview of the CCP4 suite and current developments. Acta Crystallogr. D Biol. Crystallogr. 67, 235- 242 (2011). 6 56. McCoy, A. J. et al. Phaser crystallographic software. J. Appl. Crystallogr. 40, 658- 674 (2007). 7 57. Liebschner, D. et al. Macromolecular structure determination using X- rays, neutrons and electrons: recent developments in Phenix. Acta Crystallogr. Sect. Struct. Biol. 75, 861- 877 (2019). 10 58. Emsley, P., Lohkamp, B., Scott, W. G. & Cowtan, K. Features and development of Coot. Acta Crystallogr. D Biol. Crystallogr. 66, 486- 501 (2010). 11 59. Burley, S. K. et al. RCSB Protein Data Bank: biological macromolecular structures enabling research and education in fundamental biology, biomedicine, biotechnology and energy. Nucleic Acids Res. 47, D464- D474 (2019). 12 60. Correia dos Santos, M. M. et al. Electrochemical studies on small electron transfer proteins using membrane electrodes. J. Electroanal. Chem. 541, 153- 162 (2003). 13 61. Caserta, G. et al. Enhancement of Peroxidase Activity in Artificial Mimochrome VI Catalysts through Rational Design. ChemBioChem 19, 1823- 1826 (2018).
+
+<--- Page Split --->
+
+## Supplementary Files
+
+This is a list of supplementary files associated with this preprint. Click to download.
+
+SupplementaryInformationMETPsc1. pdf
+
+<--- Page Split --->
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@@ -0,0 +1,427 @@
+<|ref|>title<|/ref|><|det|>[[44, 106, 900, 177]]<|/det|>
+# Designed Rubredoxin miniature in a fully artificial electron chain triggered by visible light
+
+<|ref|>text<|/ref|><|det|>[[44, 196, 682, 238]]<|/det|>
+Marco Chino University of Naples Federico II https://orcid.org/0000- 0002- 0436- 3293
+
+<|ref|>text<|/ref|><|det|>[[44, 243, 325, 283]]<|/det|>
+Luigi Di Costanzo University of Naples Federico II
+
+<|ref|>text<|/ref|><|det|>[[44, 290, 325, 330]]<|/det|>
+Linda Leone University of Naples Federico II
+
+<|ref|>text<|/ref|><|det|>[[44, 336, 325, 376]]<|/det|>
+Salvatore La Gatta University of Naples Federico II
+
+<|ref|>text<|/ref|><|det|>[[44, 382, 227, 422]]<|/det|>
+Antonino Famulari University of Torino
+
+<|ref|>text<|/ref|><|det|>[[44, 428, 582, 469]]<|/det|>
+Mario Chiesa University of Torino https://orcid.org/0000- 0001- 8128- 8031
+
+<|ref|>text<|/ref|><|det|>[[44, 474, 682, 515]]<|/det|>
+Angela Lombardi ( \(\square\) alombard@unina.it) University of Naples Federico II https://orcid.org/0000- 0002- 2013- 3009
+
+<|ref|>text<|/ref|><|det|>[[44, 521, 227, 561]]<|/det|>
+Vincenzo Pavone Università di Napoli
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 604, 101, 621]]<|/det|>
+## Article
+
+<|ref|>text<|/ref|><|det|>[[44, 641, 900, 683]]<|/det|>
+Keywords: Metalloproteins, de novo design, iron- sulfur cluster, electron cascades, photo- induced 17 electron transfer
+
+<|ref|>text<|/ref|><|det|>[[44, 702, 288, 721]]<|/det|>
+Posted Date: April 4th, 2022
+
+<|ref|>text<|/ref|><|det|>[[44, 740, 474, 759]]<|/det|>
+DOI: https://doi.org/10.21203/rs.3.rs- 1473985/v1
+
+<|ref|>text<|/ref|><|det|>[[44, 777, 907, 820]]<|/det|>
+License: © \(\circledast\) This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+<--- Page Split --->
+<|ref|>title<|/ref|><|det|>[[180, 228, 820, 254]]<|/det|>
+# Designed Rubredoxin miniature in a fully artificial
+
+<|ref|>title<|/ref|><|det|>[[252, 280, 748, 306]]<|/det|>
+# electron chain triggered by visible light
+
+<|ref|>text<|/ref|><|det|>[[150, 344, 848, 395]]<|/det|>
+Marco Chino1, Luigi Franklin Di Costanzo2, Linda Leone1, Salvatore La Gatta1, Antonino Famulari3,4, Mario Chiesa3, Angela Lombardi1\* and Vincenzo Pavone1\*.
+
+<|ref|>text<|/ref|><|det|>[[150, 415, 855, 580]]<|/det|>
+1. Department of Chemical Sciences, University of Naples Federico II. Via Cintia 21, 80126 Napoli, Italy.
+2. Department of Agricultural Sciences, University of Naples Federico II. Via Università 100, 80055 - Portici (NA), Italy.
+3. Department of Chemistry, University of Torino. Via Giuria 9, 10125 Torino, Italy.
+4. Department of Condensed Matter Physics, University of Zaragoza, Calle Pedro Cerbuna 12, 50009 Zaragoza, Spain.
+
+<|ref|>text<|/ref|><|det|>[[150, 648, 550, 664]]<|/det|>
+Correspondence to: alombard@unina.it; vipavone@unina.it
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[144, 132, 216, 148]]<|/det|>
+## Abstract
+
+<|ref|>text<|/ref|><|det|>[[150, 168, 858, 540]]<|/det|>
+Designing metal sites into de novo proteins has significantly improved, recently. However, identifying the minimal coordination spheres, able to encompass the necessary information for metal binding and activity, still represents a big challenge, today. Here, we tested our understanding with a benchmark, nevertheless difficult, case. We assembled in a small 28- residue peptide the quintessential elements required to correctly fold around a single iron redox center, coordinated to four cysteinyl thiolates (FeCys4 site), and to efficiently function in electron- transfer. This study represents a milestone in de novo protein design: for the first time the crystal structure of a designed tetra- thiolate metal- binding protein is reported within sub- A agreement with the intended design. This allowed us to well correlate structure to spectroscopic and electrochemical properties. Given its high reduction potential compared to natural and designed FeCys4- containing proteins, we exploited it as terminal electron acceptor of a fully artificial chain triggered by visible light.
+
+<|ref|>text<|/ref|><|det|>[[152, 600, 856, 650]]<|/det|>
+Keywords: Metalloproteins; de novo design; iron- sulfur cluster; electron cascades; photo- induced electron transfer.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[144, 92, 190, 108]]<|/det|>
+## Main
+
+<|ref|>text<|/ref|><|det|>[[141, 120, 857, 567]]<|/det|>
+Electron transport chains play a central role in many life- sustaining functions from respiration \(^{1,2}\) , to light harvesting \(^{3,4}\) . They involve two or more redox active metalloproteins, with one or more metal cofactors bound in their interior. These metal cofactors are highly conserved in their first coordination sphere, and the surrounding residues intimately modulate their electronic structure. A wide range of reduction potentials can be achieved, thus generating the driving force of electron cascades. The protein matrix also drives the mutual orientation of these cofactors, by subtly evolved self- assembly processes, fundamentally regulating electron- transfer. Thus, it is imperative in metalloprotein design to develop finely tunable redox- active metal sites, amenable for photo- induced electron trafficking and bioenergy control. Previous work has been focused on charge- separation/recombination at purposely optimized abiotic cofactors \(^{5,6}\) , electron transfer towards natural acceptors \(^{7,8}\) , injection into titanium- based photoanodes \(^{9}\) , as well as intraprotein electron transfer between two different cofactors \(^{10,11}\) . In this work, we explore two small proteins, designed from scratch, to achieve for the first time in protein design the construction of a fully artificial electron chain triggered by visible light.
+
+<|ref|>text<|/ref|><|det|>[[141, 577, 857, 895]]<|/det|>
+In Nature, most of the redox proteins involved in electron trafficking and bioenergy control is represented by cupredoxins \(^{12,13}\) , cytochromes \(^{14,15}\) , and iron- sulfur proteins \(^{16 - 18}\) . Rds represent the simplest and most studied case. They bind a single iron ion through four Cys \(\mathrm{Sy}\) with an almost tetrahedral geometry and they can cycle between the oxidation states (II) and (III). Rds (45–55 amino acids) adopt a \(C_2\) - pseudo- symmetric fold constituted by two symmetry- related CXXCX \(\alpha\) - turns \(^{19}\) . Despite well- conserved backbones and sequences (50–60% sequence identity), their reduction potential varies in the range -100/+50 mV in prokaryots and could reach 125 mV (vs SHE) in eukaryots, as well as in the closely related rubberythrin \(^{16}\) . Mutagenesis studies have dissected the role of the second coordination sphere in modulating Rds potential \(^{17,20 - 22}\) , and some double mutants have shown that the effect of mutations is generally additive \(^{23}\) . In this respect,
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[144, 90, 857, 272]]<|/det|>
+several studies of rational redesign and fully de novo design have targeted the Rd system. Among these, some groups have focused on alternative metal ions, using the \(\mathrm{S}_4\) site as a surrogate of more complex catalysts, such as [NiFe] hydrogenases or molybdenumzymes \(^{22,24}\) . Others have installed the tetrahedral \(\mathrm{FeCys_4}\) site in structurally different natural and de novo proteins \(^{25 - 27}\) . We, and others, have focused on the Rd prototypical structural unit, making use of its intrinsic symmetry to build a miniaturized peptide scaffold \(^{28 - 31}\) .
+
+<|ref|>text<|/ref|><|det|>[[144, 288, 857, 629]]<|/det|>
+In this context, we describe the design and characterization of a single- chain high- potential miniaturized electron transfer protein (named METPsc1) based on the \(\mathrm{FeCys_4}\) metal cofactor. In doing so, we address three challenges in de novo metalloprotein design. First, we implanted a \(\mathrm{FeS_4}\) site into a de novo protein, closely matching the highest reported reduction potential in the Rd family; secondly, we obtained the first X- ray structure of a tetra- thiolate metalloprotein designed from scratch, within sub- A agreement with the intended design; thirdly, and most important, we established a fully artificial photo- induced electron cascade, exploiting the newly developed protein as terminal electron acceptor. The photosensitizer unit (ZnMC6\*a) used in this process is itself an artificial protein, belonging to the class of synthetic metalloporphyrin- containing proteins, named Mimochromes \(^{32 - 34}\) . Taken together, our results demonstrate that such miniaturized proteins might be exploited in optoelectronics and light- harvesting biodervices.
+
+<|ref|>sub_title<|/ref|><|det|>[[145, 682, 323, 699]]<|/det|>
+## Results and Discussion
+
+<|ref|>sub_title<|/ref|><|det|>[[144, 728, 549, 747]]<|/det|>
+## Design of a single-chain miniaturized \(\mathrm{FeS_4}\) protein
+
+<|ref|>text<|/ref|><|det|>[[144, 770, 857, 885]]<|/det|>
+The first goal of this work consists in the design of a high potential miniprotein, leveraging from the wealth of mutagenesis studies on Rds. Rd from Clostridium pasteurianum (Cp) has been a central player in unraveling the factors that affect the reduction potential of the \(\mathrm{FeCys_4}\) metal site \(^{16,17}\) . It was shown that Fe(II) stability can be related to the number and the strength of H- bonds
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[144, 90, 857, 273]]<|/det|>
+involving the coordinating Sy atoms. Though double and triple mutants of Rd have been reported, several single- point mutations at once may perturb the global fold or alter the expression profile22,23. More intensive protein engineering routines, such as directed evolution, are generally needed to adapt the protein, and host the desired mutations. De novo design provides a remarkable alternative, which allows incorporating all the desired mutations at once, and generating the most suited structural arrangement for testing and refining folding and functions, such as redox potential.
+
+<|ref|>text<|/ref|><|det|>[[144, 285, 858, 499]]<|/det|>
+In our preview studies, the designed protein METP was recognized as a minimal unit needed to reproduce Rds by retrostructural analysis30. Two short undecapeptides are related by a twofold axis around a central metal ion as in Rd. Despite METP spectroscopic characterization indicated the expected structural arrangement when coordinated to different metal ions, its iron complex was unable to perform reversible redox cycles. An auto- redox reaction may account for the observed instability of the Fe(III)- tetrathiolate complex, with Fe(III) reduction to Fe(II), and disulfide formation.
+
+<|ref|>text<|/ref|><|det|>[[144, 511, 858, 790]]<|/det|>
+In recent studies, sacrificing symmetry to generate monomeric analogs has been identified as a common strategy to solve this stability issue28,29,35- 37. We generated new backbone coordinates by miniaturization and symmetry considerations, following the early METP design. We began from the high- resolution structure of the reduced V44A mutant of \(C_p\) Rd, which represents one of the high- potential mutants (Figure 1a, PDB ID: 1c09)21. The segment from Val38 to Glu50 was dissected from the protein, and the \(C_2\) longitudinal axis was applied (Figure 1b) to generate the dimer coordinates. We then performed a systematic search to find the best fragment linking N- (Val38) and C- termini (Glu50 of the symmetric copy), fixing seven residues as the maximum gap length.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[200, 90, 833, 560]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[180, 588, 823, 669]]<|/det|>
+Figure 1. Design and structural characterization of METPsc1. a, crystal structure of \(C_p\) Rd V44A mutant (PDB ID: 1C09). b, miniaturized model, obtained by applying a \(C_2\) longitudinal rotation to the Val38-Glu50 fragment of Cp Rd V44A. c, superimposition of the 4-residue loops found with the fragment search. d, single-chain METP prototype, obtained by combination of the \(C_2\) -symmetric dimer with the type I' beta turn selected from the search. e, designed model of ZnMETPsc1.
+
+<|ref|>text<|/ref|><|det|>[[144, 688, 857, 902]]<|/det|>
+We plotted the number of fragments within 1 Å backbone RMSD against the gap length (Extended Data Figure 1), and we found that a 4-residues loop represented the shortest yet designable choice to link the two ends (39 hits out of 158 total hits, Figure 1c). As expected for a 4-residues segment, simple \(\beta\) - turn motifs were found in most cases (29 out of 39). The sequence analysis of the matches revealed that both i+1 and i+2 positions were mainly occupied by Gly residues (Extended Data Figure 2), as typically observed in type I'/III' \(\beta\) turns38. 14 and 3 fragments corresponded to type I' and III' \(\beta\) turns, respectively (Supplementary Table 1). The best matching
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[144, 88, 857, 430]]<|/det|>
+fragment was used to generate an initial backbone model, by grafting the loop coordinates onto the previously generated Val38- Glu50 \(C_2\) - symmetric dimer (Figure 1d). This structure was then submitted to a preliminary flexible backbone design routine (see Supplementary Information). This step helped identifying some key features in terms of residue propensities at specific positions (see Supplementary Information). Moreover, in this stage we fixed 2- aminoisobutiric (Aib) residues at pseudo- symmetric positions 9 and 24 to induce the \(3_{10}\) - helix formation, as successfully accomplished in METP design. In a second design round, we instructed the packer with the results from the previous steps, and we further defined the identities of the residues at the corner positions of the CXXC motif (Figure 1e), by limiting them only to hydrophilic residues. This condition aimed at understanding the role of the H- bonding on redox potential by excluding the effect of the local dielectric environment.
+
+<|ref|>sub_title<|/ref|><|det|>[[144, 456, 680, 476]]<|/det|>
+## ZnMETPsc1 crystal structure reveals a handful of secondary motifs
+
+<|ref|>text<|/ref|><|det|>[[141, 496, 858, 903]]<|/det|>
+The newly designed 28 residue METPsc1 miniprotein was synthesized in good yield by standard solid phase methods and characterized by X- ray diffraction analysis as zinc complex at high resolution. ZnMETPsc1 crystallizes in the orthorhombic space group C2221. The asymmetric unit of the cell contains one monomer. All protein residues were clearly identified from the electron density map and correspond to the designed protein sequence, including the N- and C- terminal acetyl and amide protecting groups, respectively (Figure 2a, Supplementary Table 2). The overall monomeric structure is quite identical to the design (Figure 2b, backbone RMSD 0.45 Å), as well as Cys and hydrophobic sidechain packing, while surface exposed sidechains adopt alternative rotamers, probably due to packing and solvation interactions. The monomer folds as a truncated cone shaped molecule (Extended Data Figure 3), with an upper base corresponding to the metal binding site near the surface formed by Cys20- Asp4 and Cys5- Asn19 residues. The hydrophobic residues Aib9, Val12, Aib24 and Ile27, facing each other, with sidechains nearly aligned on a plane, form the lower base. Notably, Cys2 and Cys17, the other two cysteine residues completing the
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[144, 90, 857, 141]]<|/det|>
+coordination sphere, occupy the innermost space of the whole protein. All the remaining residues decorate the external surface of the conical shape, forming a highly hydrophilic surface.
+
+<|ref|>text<|/ref|><|det|>[[144, 153, 857, 405]]<|/det|>
+The observed structure is a compelling collection of secondary and super- secondary motifs, all of them collapsed into one small polypeptide chain. The pseudo two- fold symmetry axis is relating two consecutive similar segments formed by a progression of: (1) a small extended 2- residues \(\beta\) - strand; (2) an \(\alpha\) - turn with Ser- Asp- Cys as corner residues; (3) Gly \(\beta\) - buldge; (4) a small extended 2- residues \(\beta\) - strand; (5) an incipient \(3_{10}\) - helix with two consecutive \(\beta\) - turns; (6) a small extended 2- residues \(\beta\) - strand; (7) a type I' \(\beta\) - turn involving two consecutive Gly residues (Figure 2c, Supplementary Table 3 and Supplementary Information). Interestingly, \(\beta\) - strands pair to give two sets of short antiparallel \(\beta\) - sheets.
+
+<|ref|>text<|/ref|><|det|>[[144, 419, 857, 693]]<|/det|>
+The shell around the macromolecules is hydrated and the crystal packing is characterized by interactions involving symmetrically related Arg residues. The crystal packing is stabilized by intermolecular salt bridges between a crystallographic related residue of Arg26 and Asp4 (see below). In addition, interactions between Tyr16 and the equivalent residue of a crystallographic related METPsc1 molecule are observed with a 3.32 Å distance between - OH atom groups. The METPsc1 complex forms two packing large channels (Extended Data Figure 4). One central channel of a larger diameter ( \(\sim 12 \text{Å}\) ), around the \(C\) - centered midpoint of the space group \(C_{2221}\) , is surrounded by negatively charged Asp residues. The second channel is formed by crystallographic binary axes and aligned by several positively charged Arg residues.
+
+<|ref|>text<|/ref|><|det|>[[144, 722, 664, 742]]<|/det|>
+First and second sphere interactions define zinc complex features
+
+<|ref|>text<|/ref|><|det|>[[144, 765, 857, 884]]<|/det|>
+\(Z n^{2 + }\) is tetrahedrally coordinated by four Cys Sy with average Sy- Zn distance of \(2.34 \pm 0.03 \text{Å}\) and Sy- Zn- Sy bond angle of \(109 \pm 4^{\circ}\) (Figure 2d), consistently with the geometry found in the twelve ultrahigh resolution rubredoxin structures retrieved from the Protein Data Bank (PDB) and containing \(Z n^{2 + }\) .
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[192, 90, 770, 390]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[180, 416, 822, 565]]<|/det|>
+Figure 2. ZnMETPsc1 structural characterization. a, Metal ion, all sidechains, and N- and C- terminal capping groups are clearly visible in the electron density map (2Fc-Fc. map, 1.3 \(\sigma\) level). b, The monomeric X-ray structure of ZnMETPsc1 (cyan, this work, PDB ID: 5sbg) closely matches the designed model (light brown). c, Description of secondary structural elements found in ZnMETPsc1 structure (blue: \(\beta\) -strand; red: \(\alpha\) -turn; gray: \(\beta\) -buldge; green: \(3_{10}\) -helix; orange: type I \(\beta\) -turn). Dashed lines represent backbone to backbone H-bonds. d, First coordination sphere shows the expected coordination bond distances between zinc and cysteine sulfur atoms. e, Second coordination sphere involving amide of Ala7 and Ala22 exacerbates H-bond strength with respect to wt Cp Rd. f, The H-bond donors from sidechains of Asn19 and a symmetry-related Arg26 (in cyan) to METPsc1 partners are indicated.
+
+<|ref|>text<|/ref|><|det|>[[140, 584, 856, 630]]<|/det|>
+The Cys residues are arranged around the metal center with a clockwise distribution of sidechains in that \(\chi^1\) are either \(g^+\) or \(t\) for Cys5/Cys20 and Cys2/Cys17, respectively. The torsion angle
+
+<|ref|>text<|/ref|><|det|>[[140, 647, 856, 703]]<|/det|>
+\(\mathrm{Sy(Cys2) - Zn - Sy - C\beta(Cys17)}\) is \(180^{\circ}\) while the pseudo- symmetry- related torsion angle is \(\mathrm{Sy(Cys6)}\) - \(\mathrm{Zn - Sy - C\beta(Cys20)}\) is \(159^{\circ}\)
+
+<|ref|>text<|/ref|><|det|>[[140, 718, 857, 900]]<|/det|>
+The second coordination shell is characterized by H- bonds involving Cys \(\mathrm{Sy}\) and backbone N- H donors, similarly to natural Rds (Supplementary Table 4). Cys2 accepts H- bonds from backbone amide groups of Asp4 and Cys5, the same occurring for the symmetry related Cys17 (Asn19 and Cys20 backbone amides). The designed sequence presents Ala residues at positions 7 and 22, being sufficiently small to let their own backbone N- H to H- bond Cys5 and Cys20 \(\mathrm{Sy}\) , respectively (Figure 2e). The strength of this H- bond has previously been correlated to the reduction potential,
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[102, 90, 857, 308]]<|/det|>
+1 as shown for \(C_p\) Rd mutants of Val4420. Moreover, positions 4 and 19 of METPsc1 (Figure 2f) 2 correspond to position 41 of \(C_p\) Rd, the latter being crucial for the solvent accessibility and H- 3 bonding of Cys9 in \(C_p\) Rd39. In our model, it is reasonable to hypothesize that Asp4 residue would 4 drive water access towards Cys20. Asn19 residue donates its sidechain amide protons to Cys5 \(S_y\), 5 further decreasing its electron density (Figure 2e). Cys20 \(S_y\) accepts a H-bond from sidechain 6 guanidine group of a crystallographically related Arg26, mimicking a water molecule as observed 7 in L41A \(C_p\) Rd X-ray structure (Figure 2f).
+
+<|ref|>text<|/ref|><|det|>[[102, 336, 778, 356]]<|/det|>
+8 Structure correlates with function as assessed by spectroscopy and voltammetry
+
+<|ref|>text<|/ref|><|det|>[[100, 377, 857, 558]]<|/det|>
+9 Spectroscopic and electrochemical studies were performed to analyze the METPsc1 behavior 10 in solution and to correlate structural to functional properties. Iron binding and coordination 11 geometry was assessed by a combination of UV-Vis absorption, CD, and EPR spectroscopies 12 (Table 1)40- 42. METPsc1 forms a 1:1 complex with \(\mathrm{Fe}^{2 + }\) at pH 6.8, as assessed by Mohr salt titration 13 of the apo peptide, under inert atmosphere (Figure 3a). The data were well described by a binding 14 isotherm with an apparent \(\mathrm{K_D} \leq 300 \mathrm{nM}\) .
+
+<|ref|>table<|/ref|><|det|>[[142, 608, 894, 768]]<|/det|>
+<|ref|>table_caption<|/ref|><|det|>[[180, 589, 768, 605]]<|/det|>
+Table 1. Spectroscopic parameters of FeMETPsc1 and \(C_p\) Rd in Fe(II) and Fe(III) oxidation states.
+
+ | | Fe2+ METPsc1 | Fe2+ Cp Rd | Fe3+ METPsc1 | Fe3+ Cp Rd |
311 (7.73), 331 (4.43) | 311 (10.8), 333 (6.3)40 |
| UV-Vis | λ/nm (e/mM-1 cm-1) | | | | 345 (7.28), | 350 (7.00), |
| 370 (8.33), | 380 (7.70), |
| 494 (6.54), | 490 (6.60), |
| CD | λ/nm (+/-) | 312(-), 333(+) | | 314(-), 335(+)42 | 570 (3.13), | 570 (3.20), |
| 745 (0.33) | 750 (0.35)41 |
| 437(+), 502(-), | 437(+), 500(-), |
| 557(+), 632(-) | 560(+), 635(-)42 |
| EPR | geff | - | - | - | 9.15, 4.26 | 9.4, 4.340 |
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[180, 90, 820, 522]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[180, 532, 830, 662]]<|/det|>
+Figure 3. FeMETPsc1 spectroscopic and electrochemical characterization. a, UV-Vis titration of METPsc1 with \(\mathrm{Fe}^{2 + }\) , absorbances at 311 nm are reported in the inset (black squares) and fitted by a 1:1 binding isotherm (red dashed line). Mohr's salt (36mM) aliquots were added to a \(30~\mu \mathrm{M}\) METPsc1 solution in a \(20~\mathrm{mM}\) HEPES buffer (pH 7) and \(1\mathrm{mM}\) TCEP. b, c, UV-Vis and CD spectra of the reduced (black line) and oxidized (red line) FeMETPsc1 (40 \(\mu \mathrm{M}\) ) species. d, X-band CW-EPR spectrum of \(\mathrm{Fe}^{3 + }\) METPsc1 (0.5 mM) in \(20~\mathrm{mM}\) phosphate buffer (pH 7) and \(5\mathrm{mM}\) TCEP at \(4.5\mathrm{K}\) . e, Cyclic voltammograms of FeMETPsc1 (80 \(\mu \mathrm{M}\) ) as a function of scanning rate were recorded in \(40~\mathrm{mM}\) HEPES buffer (pH 7) and \(0.3\mathrm{M}\) KCl. Each voltammogram is the last of three consecutive scans.
+
+<|ref|>text<|/ref|><|det|>[[144, 682, 857, 832]]<|/det|>
+Such value is dramatically lower than those we previously observed for the dimeric METP (one and two order of magnitude, respect to \(\mathrm{Zn}^{2 + }\) and \(\mathrm{Co}^{2 + }\) , respectively), most probably attributable to the enhanced chelate effect granted by the monomeric protein. METPsc1 is a tighter ligand for iron when compared to other previously designed monomeric constructs27,28, but still looser than a previously reported zinc- finger inspired cyclic scaffold29.
+
+<|ref|>text<|/ref|><|det|>[[144, 846, 857, 898]]<|/det|>
+When exposed to air, \(\mathrm{Fe}^{2 + }\) complex readily oxidizes to the ferric state. We collected UV- Vis and CD spectra of both reduced and oxidized forms. Absorption spectra for both oxidation states
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[144, 88, 857, 237]]<|/det|>
+show the Rd characteristic LMCT bands of tetrahedral thiolate donors (Figure 3b). In addition, their extinction coefficients are in striking agreement with those reported for \(C_p\) Rd (Table 1). CD positive and negative Cotton effects alternate as previously reported for the ferric state \(^{42}\) and lead to the assignment of at least six transitions in the visible region (Figure 3c), four of which match those found in \(C_p\) Rd (Table 1), and in other designed models \(^{27,29}\) .
+
+<|ref|>text<|/ref|><|det|>[[144, 249, 857, 428]]<|/det|>
+The complex was also characterized by X- band Continuous Wave (CW)- EPR spectroscopy (Figure 3d). The observed resonances, \(g_{\mathrm{eff}} = 9.15\) and 4.26, match those of a high- spin \(\mathrm{Fe}^{3 + }\) (S=5/2) center, consistent with a rhombic distortion E/D of about 0.22 and a positive D value, as observed for \(C_p\) Rd and sulfur ligated ferric iron model compounds \(^{29,43}\) . Taken together, spectroscopic data demonstrate that both \(\mathrm{Fe}^{2 + }\) and \(\mathrm{Fe}^{3 + }\) are tightly bound into a tetrathiolate environment as in natural Rds, both in geometry and electronic structure.
+
+<|ref|>text<|/ref|><|det|>[[143, 440, 857, 785]]<|/det|>
+Once established the high binding affinity of METPsc1 for iron in both oxidation states, we analyzed whether the protein accomplishes reversible redox cycles. We performed a typical redox- cycling experiment following changes of the characteristic \(\mathrm{Fe}^{3 + }\) METPsc1 band at 494 nm. We cyclically oxidized iron upon exposure to air, followed by argon purge and reduction by sodium dithionite addition (Extended Data Figure 5). A protein solution (40 μM, pH 7) was subjected to at least nine consecutive and reversible redox cycles, without dramatic loss of the protein signal upon recycling (Extended Data Figure 6), similarly to other redox- cycling Rd mimics \(^{27 - 29}\) . The last of 9 oxidation processes recovered approximately 50% of the expected \(\mathrm{Fe}^{3 + }\) METPsc1 signal, suggesting that more cycles could be performed. These results demonstrate that FeMETPsc1 can reversibly switch between ferrous and ferric states in diffusion under excess of reductant (dithionite) or oxidant (dioxygen), respectively.
+
+<|ref|>text<|/ref|><|det|>[[144, 796, 856, 880]]<|/det|>
+A fundamental test of the correctness of our design came from electrochemical measurements. A double mutant in positions Tyr11 and Val44 of \(C_p\) Rd has never been reported to date (Ala7 and Ala22, respectively in METPsc1), and thus it is of particular interest to analyze METPsc1
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 860, 500]]<|/det|>
+1 electrochemistry. We, therefore, performed cyclic voltammetry experiments at different scan rates 2 in which a glassy carbon electrode was immersed in a solution of \(80\mu \mathrm{M}\) FeMETPsc1 (pH 7), using 3 0.3 M KCl as electrolyte (Figure 3e). FeMETPsc1 gave measurable currents in the range of 2.5 - 4 50 mV/s, displaying a quasi-reversible behavior with reduction potential centered at \(E^{\prime \prime} = 121\mathrm{mV}\) 5 (vs SHE), with \(\Delta E_{\mathrm{p}}\) in the range 59- 136 mV. This high potential was our design goal, and it is not 6 surprising considering the crystallographic data. Its value surpasses the classical range for 7 prokaryotic Rds, and closely matches the potential of rubrerythrins \(^{16,23}\) . The number and strength of 8 H-bonds in the second coordination sphere (Ala7, Ala22, Asn19, Arg27) significantly decrease the 9 electron density of sulfur donors, thus favoring the ferrous state. Randles- Ševčik analysis has been 10 used to evaluate the diffusion coefficients of the reduced and oxidized species (Extended Data 11 Figure 7). They are \(0.92 10^{- 6}\) and \(1.4 10^{- 6}\mathrm{cm}^{2}\mathrm{s}^{- 1}\) for the reduced and oxidized forms, respectively, 12 in reasonable agreement with the value calculated from the crystallographic model (1.47 \(10^{- 6}\mathrm{cm}^{2}\) 13 \(\mathrm{s}^{- 1}\) ).
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 526, 613, 547]]<|/det|>
+## Definition of an artificial photo-triggered electron cascade
+
+<|ref|>text<|/ref|><|det|>[[114, 567, 858, 682]]<|/det|>
+FeMETPsc1 possesses a significantly high reduction potential, and the \(\mathrm{Fe}^{3 + }\) reduction is accompanied by a clear change in the visible spectrum. To test whether FeMETPsc1 could represent the final electron acceptor of an electron transport chain, a photo- triggered reduction experiment was designed (Figure 4a).
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[172, 90, 825, 590]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[180, 599, 821, 680]]<|/det|>
+Figure 4. Photoinduced electron transfer from \(\mathrm{ZnMC6^{*}a}\) (40 \(\mu \mathrm{M}\) ) to \(\mathrm{Fe}^{3 + }\mathrm{METPsc1}\) (50 \(\mu \mathrm{M}\) ). a, reaction scheme of the synthetic electron cascade. b, experimental setup showing the LED strip wrapped around the UV cuvette under Ar atmosphere. c, superimposed UV-Vis spectra of \(\mathrm{Fe}^{3 + }\mathrm{METPsc1}\) (black trace) and \(\mathrm{Fe}^{2 + }\mathrm{METPsc1}\) (red trace) in the presence of \(\mathrm{ZnMC6^{*}a}\) (40 \(\mu \mathrm{M}\) ) and triethylamine (4 mM). d, redox cycling of FeMETPsc1 monitored at \(496~\mathrm{nm}\) and \(314~\mathrm{nm}\) . Green boxes correspond to light irradiation.
+
+<|ref|>text<|/ref|><|det|>[[142, 700, 857, 883]]<|/det|>
+Triethylamine (TEA) was chosen as sacrificial reductant, and FeMETPsc1 as oxidant, whilst a newly synthesized \(\mathrm{Zn}^{2 + }\) derivative of Mimochrome \(\mathrm{VI^{*}a}\) (ZnMC6\*a) was used as photosensitizer \(^{32}\) . Zinc tetrapyrroles have been already used in designed and engineered metalloproteins, and they showed peculiar time-resolved spectroscopic features \(^{44}\) , intra-molecular ET processes \(^{5,6,10}\) , and allosteric modulation \(^{45}\) . However, this photoactive cofactor has never been used to transfer electrons from one protein to another. Therefore, a simple experiment was carried
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 90, 856, 140]]<|/det|>
+out by following FeMETPsc1 UV/Vis- spectrum differences upon reduction/oxidation due to green light exposition (Figure 4b).
+
+<|ref|>text<|/ref|><|det|>[[141, 152, 857, 589]]<|/det|>
+When a solution containing \(4\mathrm{mM}\) TEA, \(50~\mu \mathrm{M}\) \(\mathrm{Fe}^{2 + }\mathrm{METPsc1}\) , and \(40~\mu \mathrm{M}\) ZnMC6\\*a was purged with air, a \(496\mathrm{nm}\) band of the oxidized \(\mathrm{[FeCys_4]^{1 - }}\) appeared (Figure 4c,d), demonstrating that iron oxidation at METPsc1 was not affected by TEA and ZnMC6\\*a. When the solution was exposed to green light irradiation for 25 minutes under argon atmosphere, complete disappearance of the ferric charge- transfer band was observed. A band at \(314~\mathrm{nm}\) concomitantly appeared, characteristic of the reduced \(\mathrm{[FeS_4]^{2 - }}\) species, close to the previously observed maximum at 311 nm, with a slight shift due to superposition with the zinc porphyrin spectrum. These results clearly demonstrate \(\mathrm{Fe}^{3 + }\mathrm{METPsc1}\) reduction upon light exposure. As a final proof of the artificial photoelectron transfer chain, the system was exposed again to air and then to green light irradiation. As expected, air oxidized FeMETPsc1, and then after 15 minutes of irradiation, it was reduced back with formation of a peak at \(314~\mathrm{nm}\) . However, complete disappearance of the band in the visible region could not be observed, mostly because spectrum contribution from the zinc porphyrin was significantly altered. In turn, this could be possibly ascribed to reactive oxygen species that formed during the previous \(\mathrm{O_2}\) reduction step (Figure 4a, Extended Data Figure 8).
+
+<|ref|>sub_title<|/ref|><|det|>[[145, 609, 242, 625]]<|/det|>
+## Conclusions
+
+<|ref|>text<|/ref|><|det|>[[141, 639, 857, 885]]<|/det|>
+The combination of powerful computational tools \(^{46,47}\) , and more recently machine learning \(^{48,49}\) , together with the genome palette (e.g., directed evolution and phage/yeast display) \(^{50,51}\) is significantly helping protein designers in increasing success rate. However, direct correlation between single point mutations and metal- dependent function still remains elusive when large scaffolds are adopted \(^{50,52}\) . Design of synthetic metalloproteins by miniaturization helps circumventing this problem by limiting the metal surroundings to only a few crucial residues \(^{53}\) . To this end, we developed by design and miniaturization a synthetic Rd, METPsc1, capable of keeping the intended structural and functional properties in a small 28- residue peptide. The availability of
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[102, 88, 858, 270]]<|/det|>
+1 high-resolution structure and its agreement with the designed model at sub- A level validate the 2 adopted design principles. The designed second- shell interactions revealed crucial in determining 3 one of the highest potentials amongst the Rd family. This result prompted us to generate a synthetic 4 electron transfer chain from a sacrificial electron donor (TEA) to a sacrificial acceptor (O2) by 5 means of two newly- developed synthetic mini- proteins (FeMETPsc1, ZnMC6\*a), whose overall 6 size correspond to \(\sim 6.5\mathrm{kDa}\) .
+
+<|ref|>text<|/ref|><|det|>[[144, 281, 857, 365]]<|/det|>
+In perspective, our studies provide a prototype for the generation of nanosized multicomponent mini- protein devices. They should encourage future design of small metalloproteins with predetermined structural and functional properties.
+
+<|ref|>sub_title<|/ref|><|det|>[[144, 386, 233, 403]]<|/det|>
+## References
+
+<|ref|>text<|/ref|><|det|>[[140, 417, 857, 856]]<|/det|>
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+1 17. Maiti, B. K., Almeida, R. M., Moura, I. & Moura, J. J. G. Rubredoxins derivatives: Simple sulphur-rich coordination metal sites and its relevance for biology and chemistry. Coord. Chem. Rev. 352, 379- 397 (2017). 4 18. Bönisch, H., Schmidt, C. L., Schäfer, G. & Ladenstein, R. The Structure of the Soluble Domain of an Archaeological Rieske Iron-Sulfur Protein at 1.1Å Resolution. J. Mol. Biol. 319, 791- 805 (2002). 7 19. Pavone, V. et al. Discovering protein secondary structures: classification and description of isolated alpha-turns. Biopolymers 38, 705- 721 (1996). 9 20. Lin, I.- J., Gebel, E. B., Machonkin, T. E., Westler, W. M. & Markley, J. L. Changes in hydrogen-bond strengths explain reduction potentials in 10 rubredoxin variants. Proc. Natl. Acad. Sci. 102, 14581- 14586 (2005). 12 21. Eidsness, M. K. et al. Modulation of the Redox Potential of the [Fe(SCys)4] Site in Rubredoxin by the Orientation of a Peptide Dipole. Biochemistry 38, 14803- 14809 (1999). 14 22. Slater, J. W. et al. Power of the Secondary Sphere: Modulating Hydrogenase Activity in Nickel-Substituted Rubredoxin. ACS Catal. 9, 8928- 8942 (2019). 16 23. Bönisch, H., Schmidt, C. L., Bianco, P. & Ladenstein, R. Ultrahigh-resolution study on Pyrococcus abyssi rubredoxin: II. Introduction of an O- H···Sγ- Fe hydrogen bond increased the reduction potential by 65 mV. JBIC J. Biol. Inorg. Chem. 12, 1163- 1171 (2007). 19 24. Maiti, B. K. et al. Incorporation of molybdenum in rubredoxin: models for mononuclear molybdenum enzymes. JBIC J. Biol. Inorg. Chem. 20, 821- 829 (2015). 21 25. Benson, D. E., Wisz, M. S., Liu, W. & Hellinga, H. W. Construction of a Novel Redox Protein by Rational Design: Conversion of a Disulfide Bridge into a Mononuclear Iron- Sulfur Center. Biochemistry 37, 7070- 7076 (1998). 24 26. Farinas, E. & Regan, L. The de novo design of a rubredoxin-like Fe site. Protein Sci. Publ. Protein Soc. 7, 1939- 1946 (1998).
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+1 27. Tebo, A. G. et al. Development of a Rubredoxin-Type Center Embedded in a de De novo- 2 Designed Three-Helix Bundle. Biochemistry 57, 2308- 2316 (2018). 3 28. Nanda, V. et al. De Novo Design of a Redox-Active Minimal Rubredoxin Mimic. J. Am. Chem. 4 Soc. 127, 5804- 5805 (2005). 5 29. Jacques, A. et al. A cyclic peptide-based redox-active model of rubredoxin. Chem. Commun. 6 49, 2915- 2917 (2013). 7 30. Lombardi, A. et al. Miniaturized metalloproteins: Application to iron- sulfur proteins. Proc. 8 Natl. Acad. Sci. 97, 11922- 11927 (2000). 9 31. La Gatta, S. et al. Unravelling the Structure of the Tetrahedral Metal-Binding Site in METP3 10 through an Experimental and Computational Approach. Molecules 26, 5221 (2021). 11 32. Leone, L. et al. Mimochrome, a metalloporphyrin-based catalytic Swiss knife. Biotechnol. 12 Appl. Biochem. 67, 495- 515 (2020). 13 33. Le, J. M. et al. Tuning Mechanism through Buffer Dependence of Hydrogen Evolution 14 Catalyzed by a Cobalt Mini-enzyme. Biochemistry 59, 1289- 1297 (2020). 15 34. Leone, L. et al. Highly Selective Indole Oxidation Catalyzed by a Mn-Containing Artificial 16 Mini-Enzyme. ACS Catal. 11, 9407- 9417 (2021). 17 35. Ulas, G., Lemmin, T., Wu, Y., Gassner, G. T. & DeGrado, W. F. Designed metalloprotein 18 stabilizes a semiquinone radical. Nat. Chem. 8, 354- 359 (2016). 19 36. Chino, M. et al. A De Novo Heterodimeric Due Ferri Protein Minimizes the Release of 20 Reactive Intermediates in Dioxygen-Dependent Oxidation. Angew. Chem. Int. Ed. 56, 15580- 21 15583 (2017). 22 37. Grzyb, J. et al. Empirical and computational design of iron- sulfur cluster proteins. Biochim. 23 Biophys. Acta BBA - Bioenerg. 1817, 1256- 1262 (2012). 24 38. Chou, P. Y. & Fasman, G. D. Beta-turns in proteins. J. Mol. Biol. 115, 135- 175 (1977).
+
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+39. Min, T., Ergenekan, C. E., Eidsness, M. K., Ichiye, T. & Kang, C. Leucine 41 is a gate for water entry in the reduction of Clostridium pasteurianum rubredoxin. Protein Sci. 10, 613-621 (2001).
+
+<|ref|>text<|/ref|><|det|>[[95, 185, 858, 240]]<|/det|>
+40. Im, S.-C. & Geoffrey Sykes, A. Kinetic studies on the redox reactions of Clostridium pasteurianum rubredoxin. J. Chem. Soc. Dalton Trans. 2219-2222 (1996).
+
+<|ref|>text<|/ref|><|det|>[[95, 250, 858, 333]]<|/det|>
+41. Xiao, Z. et al. The Rubredoxin from Clostridium pasteurianum: Mutation of the Iron Cysteinyl Ligands to Serine. Crystal and Molecular Structures of Oxidized and Dithionite-Treated Forms of the Cys42Ser Mutant. J. Am. Chem. Soc. 120, 4135-4150 (1998).
+
+<|ref|>text<|/ref|><|det|>[[95, 343, 858, 398]]<|/det|>
+42. Eaton, W. A. & Lovenberg, W. The Iron-Sulfur Complex in Rubredoxin. in Molecular Properties 131-162 (Elsevier, 1973). doi:10.1016/B978-0-12-456002-4.50009-5.
+
+<|ref|>text<|/ref|><|det|>[[95, 408, 858, 525]]<|/det|>
+43. Peisach, J., Blumberg, W. E., Lode, E. T. & Coon, M. J. An Analysis of the Electron Paramagnetic Resonance Spectrum of Pseudomonas oleovorans Rubredoxin: a method for determination of the ligands of ferric iron in completely rhombic sites. J. Biol. Chem. 246, 5877-5881 (1971).
+
+<|ref|>text<|/ref|><|det|>[[95, 535, 857, 590]]<|/det|>
+44. Polizzi, N. F. et al. De novo design of a hyperstable non-natural protein-ligand complex with sub-Å accuracy. Nat. Chem. 9, 1157-1164 (2017).
+
+<|ref|>text<|/ref|><|det|>[[95, 600, 857, 654]]<|/det|>
+45. Pirro, F. et al. Allosteric cooperation in a de novo-designed two-domain protein. Proc. Natl. Acad. Sci. 117, 33246-33253 (2020).
+
+<|ref|>text<|/ref|><|det|>[[95, 664, 857, 718]]<|/det|>
+46. Leman, J. K. et al. Macromolecular modeling and design in Rosetta: recent methods and frameworks. Nat. Methods 17, 665-680 (2020).
+
+<|ref|>text<|/ref|><|det|>[[95, 728, 857, 813]]<|/det|>
+47. Zhou, J., Panaitiu, A. E. & Grigoryan, G. A general-purpose protein design framework based on mining sequence-structure relationships in known protein structures. Proc. Natl. Acad. Sci. 117, 1059-1068 (2020).
+
+<|ref|>text<|/ref|><|det|>[[95, 823, 857, 877]]<|/det|>
+48. Baek, M. et al. Accurate prediction of protein structures and interactions using a three-track neural network. Science 373, 871-876 (2021).
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[101, 88, 857, 450]]<|/det|>
+1 49. Jumper, J. et al. Highly accurate protein structure prediction with AlphaFold. Nature 596, 583–589 (2021).2 50. Basler, S. et al. Efficient Lewis acid catalysis of an abiological reaction in a de novo protein scaffold. Nat. Chem. 13, 231–235 (2021).3 51. Rocklin, G. J. et al. Global analysis of protein folding using massively parallel design, synthesis, and testing. Science 357, 168–175 (2017).4 52. Choi, T. S. & Tezcan, F. A. Overcoming universal restrictions on metal selectivity by protein design. Nature 1–6 (2022) doi:10.1038/s41586-022-04469-8.5 53. Maglio, O., Nastri, F. & Lombardi, A. Structural and Functional Aspects of Metal Binding Sites in Natural and Designed Metalloproteins. in Ionic Interactions in Natural and Synthetic Macromolecules (eds. Ciferri, A. & Perico, A.) 361–450 (John Wiley & Sons, Inc., 2012).
+
+<|ref|>text<|/ref|><|det|>[[144, 480, 855, 533]]<|/det|>
+Computational modelling and simulation methodology is described in the Supplementary Information and in Supplementary Figures 1- 4.
+
+<|ref|>text<|/ref|><|det|>[[144, 561, 384, 580]]<|/det|>
+Solid- phase peptide synthesis.
+
+<|ref|>text<|/ref|><|det|>[[140, 601, 857, 877]]<|/det|>
+METPsc1 was synthesized by automatic solid- phase synthesis, using an ABI 433A peptide synthesizer (Applied Biosystem, Foster City, CA, USA) with standard Fmoc chemistry on a 0.1 mmol scale. The acid labile H- PAL ChemMatrix resin, with a substitution of 0.20 mmol/g, was used as solid support. Amino acids were activated in situ with 2-(7- Aza- 1H- benzotriazole- 1- yl)- 1,1,3,3- tetramethyluronium hexafluorophosphate (HATU) as coupling reagent. The N- terminal amino group was acetylated with a solution of acetic anhydride, 1- hydroxybenzotriazole (HOBt) and diisopropylethylamine (DIEA) in N- methyl- pyrrolidone (NMP). Peptide cleavage from the resin and sidechains deprotection was achieved with a mixture of trifluoroacetic acid/H2O/triisopropylsilane/ethanedithiol 9.4:0.25:0.25:0.1 (v/v/v/v), yielding to aminated C-
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[102, 90, 856, 141]]<|/det|>
+1 terminal. The crude peptide was precipitated in cold diethyl ether and dried under reduced pressure.2 The overall synthesis yield was \(65\%\) , based on the resin substitution.
+
+<|ref|>sub_title<|/ref|><|det|>[[102, 170, 411, 190]]<|/det|>
+## 3 Peptide purification and analysis
+
+<|ref|>text<|/ref|><|det|>[[140, 210, 857, 357]]<|/det|>
+Peptide purification was accomplished using a Shimadzu LC- 8A preparative HPLC system (Shimadzu, Kyoto, Japan), equipped with a SPD- M10AV UV- Vis detector. A Reverse Phase Vydac C18 column (250 cm x 22 mm; 10 \(\mu \mathrm{m}\) ) was eluted with a linear gradient of \(\mathrm{H}_2\mathrm{O} 0.1\%\) TFA (eluent A) and acetonitrile \(0.1\%\) TFA (eluent B), from \(5\%\) to \(70\%\) B over 50 min at a flow rate of \(22 \mathrm{mL / min}\) .
+
+<|ref|>text<|/ref|><|det|>[[140, 370, 857, 550]]<|/det|>
+Peptide purity and identity were assessed by RP- HPLC- MS analysis (Supplementary Figures 5- 7), using a Shimadzu LC- 10ADvp equipped with an SPDM10Avp diode- array detector. ESI- MS spectra were recorded on a Shimadzu LC- MS- 2010EV system with ESI interface and a quadrupole mass analyzer. A Vydac C18 column (150 mm x 4.6 mm, 5 \(\mu \mathrm{m}\) ) was used in the LC- MS analyses, eluted with a linear gradient of \(\mathrm{H}_2\mathrm{O} 0.1\%\) TFA (eluent A) and acetonitrile \(0.1\%\) TFA (eluent B), from \(5\%\) to \(70\%\) B over 60 min at a flowrate of \(0.5 \mathrm{mL / min}\) .
+
+<|ref|>sub_title<|/ref|><|det|>[[144, 578, 278, 597]]<|/det|>
+## Crystallography
+
+<|ref|>text<|/ref|><|det|>[[140, 619, 858, 895]]<|/det|>
+The ZnMETPsc1 complex was crystallized by the hanging drop vapor diffusion method at 20 \(^\circ \mathrm{C}\) . Typically, a drop containing \(2.0 \mu \mathrm{L}\) of 1:1 (v/v) mixture of protein solution (10 mg/mL, 7 mM DTT, 4 mM \(\mathrm{ZnCl}_2\) ) and \(2.0 \mu \mathrm{L}\) of precipitant buffer (0.1 M HEPES at pH 7.5, 1.4 M sodium citrate tribasic dihydrate) was equilibrated against \(0.5 \mathrm{mL}\) reservoir of precipitant buffer. Crystals of the ZnMETPsc1 complex appeared within 4 days and grew as long needles with typical dimension of \(0.15 \times 0.15 \times 0.5 \mathrm{mm}^3\) . Crystals were transferred to the same mother liquor solution augmented with \(30\%\) MPD solution and flash cooled. These crystals yielded diffraction data to \(1.44 \mathrm{\AA}\) resolution at the XRD1 beamline (Elettra Synchrotron Light Source, Trieste, Italy), using a wavelength of 1.000 \(\mathrm{\AA}\) , and kept at 100 K. Data were processed using XDS and POINTLESS (version 1.11.21) \(^{54,55}\) with
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 90, 857, 141]]<|/det|>
+a data collection statistic reported in Supplementary Table 2. Crystals presented an orthorhombic unit cell with space group C2221. No twinning was detected.
+
+<|ref|>text<|/ref|><|det|>[[141, 153, 857, 466]]<|/det|>
+The structure of the ZnMETPsc1 complex was solved by molecular replacement via Phaser56, run under Phenix suite (version 1.16)57, using the designed model cleaved of the N- and C- terminal residues as a search model. The optimal solution for the positioning of one monomer in the asymmetric unit yielded a total log- likelihood gain of 21, a rotation function Z score (RFZ) = 3.2 and a translational function Z score (TFZ) = 3.7. An initial rigid- body refinement with data at 2.5 Å dropped the R/Rfree to 0.377/0.427. The program PHENIX.refine was used to anisotropically refine the model, and the graphics program COOT58 was used for structural model adjustments and inspection of Fourier residual maps. In the final stage of refinement, a total of 26 water molecules could be located. The data processing and structural refinement statistics are shown in Supplementary Table 2.
+
+<|ref|>text<|/ref|><|det|>[[142, 479, 857, 628]]<|/det|>
+Protein Data Bank has been accessed (March 11, 2022) for high- resolution Rd structures in order to determine the average \(\mathrm{M}^{2 + } - \mathrm{S}\gamma\) distance59. The search settings were: "Uniprot Molecule Name" contains "Rubredoxin", "Refinement Resolution" \(>0.5\) and \(\leq = 1.2 \mathrm{\AA}\) . A total of 25 entries were retrieved. Among them, only 4 contained \(\mathrm{Zn}^{2 + }\) as ligand, for a total of 12 independent models binding zinc in the Cys4 binding site.
+
+<|ref|>sub_title<|/ref|><|det|>[[144, 658, 316, 676]]<|/det|>
+## UV-Vis Spectroscopy
+
+<|ref|>text<|/ref|><|det|>[[142, 698, 857, 880]]<|/det|>
+UV- Vis spectra were acquired on a Cary Varian 60 spectrophotometer, equipped with a thermoregulated cell holder and a magnetic stirrer. All buffer, protein or metal solutions were prepared with MilliQ water and purged with argon. All experiments were performed at 25°C, using rubber sealed quartz cuvettes of 1 cm pathlength. Concentration of METPsc1 was determined using a molar extinction coefficient of \(\epsilon_{276} = 2980 \mathrm{M}^{- 1} \mathrm{cm}^{- 1}\) . UV- Vis titration experiments with \(\mathrm{Fe}^{2 + }\) were performed by adding aliquots ( \(\sim 0.1\) equiv) of Mohr's salt to a solution of apo- METPsc1 (30 \(\mu \mathrm{M}\) )
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[102, 88, 858, 238]]<|/det|>
+1 in HEPES buffer (20 mM) pH 7 containing 1 mM TCEP. In the redox cycling experiment, a 2 solution of \(\mathrm{Fe}^{2 + }\) METPsc1 (50 \(\mu \mathrm{M}\) ) in HEPES buffer (20 mM) and TCEP (1 mM) at pH 7 was 3 sequentially purged with air to form the \(\mathrm{Fe}^{3 + }\) complex, then purged with argon and reduced with an 4 excess of sodium dithionite to restore the \(\mathrm{Fe}^{2 + }\) complex. UV- Vis spectra were acquired every 3 5 minutes.
+
+<|ref|>sub_title<|/ref|><|det|>[[102, 265, 412, 284]]<|/det|>
+## Circular Dichroism spectroscopy
+
+<|ref|>text<|/ref|><|det|>[[140, 306, 858, 581]]<|/det|>
+7 CD spectra were recorded at \(25^{\circ}\mathrm{C}\) on a JASCO J- 815 dicrograph equipped with a 8 thermoregulated cell holder. All spectra were acquired at \(0.2\mathrm{nm}\) intervals with \(20\mathrm{nm / min}\) scan 9 speed, using quartz cells of \(1\mathrm{cm}\) pathlength. Spectra in the far- UV region (190 - 260 nm) were 10 acquired for apo- and \(\mathrm{ZnMETPsc1}\) (50 \(\mu \mathrm{M}\) ) in phosphate buffer (5 mM) at pH 7 (Supplementary 11 Figure 8). The Zn complex was formed by addition of \(\mathrm{ZnCl}_2\) (1.5 equiv) to apoMETPsc1. Spectra 12 in the UV- visible region (300 - 800 nm) were collected for the oxidized and reduced forms of 13 FeMETPsc (40 \(\mu \mathrm{M}\) ) in HEPES buffer (20 mM) at pH 7. The \(\mathrm{Fe}^{2 + }\) complex was prepared by addition 14 of Mohr's salt (1.5 equiv) to an argon purged solution of METPsc1. The latter was then purged 15 with air to obtain the \(\mathrm{Fe}^{3 + }\) complex.
+
+<|ref|>sub_title<|/ref|><|det|>[[144, 609, 530, 628]]<|/det|>
+## Electron Paramagnetic Resonance spectroscopy
+
+<|ref|>text<|/ref|><|det|>[[141, 650, 858, 828]]<|/det|>
+17 For the EPR study, \(\mathrm{Fe}^{3 + }\) METPsc1, in \(20\mathrm{mM}\) phosphate buffer (pH 7) and \(5\mathrm{mM}\) TCEP, was 18 mixed with \(30\%\) of glycerol as glassing agent to an approximate final concentration of \(0.5\mathrm{mM}\) . 19 CW- EPR experiments were performed on a Bruker Elexys E580 X- band spectrometer (microwave 20 frequency 9.76 GHz) equipped with a cylindrical dielectric cavity and a helium gas- flow cryostat 21 from Oxford Inc. The spectrum was recorded at \(4.5\mathrm{K}\) and a microwave power of \(1\mathrm{mW}\) , a 22 modulation amplitude of \(0.7\mathrm{mT}\) and a modulation frequency of \(100\mathrm{KHz}\) were used.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[100, 90, 305, 109]]<|/det|>
+1 Cyclic Voltammetry
+
+<|ref|>text<|/ref|><|det|>[[141, 131, 857, 375]]<|/det|>
+All cyclic voltammetry experiments were performed with a Potentiostat/Galvanostat \(\mu\) AUTOLAB Type III (Metrohm Autolab, Utrecht, The Netherlands) using a three- electrode cell for small volume samples (0.5- 2 mL) purchased from BASi (West Lafayette, IN, USA), under argon. Temperature controlled measurements were conducted using a thermo- cryostat R2 (Grant). For all the measurement, a \(3\mathrm{mm}\) - diameter glassy carbon electrode (GCE, BASi) was used as working electrode. A Pt wire and an Ag|AgCl NaCl 3 M electrodes (BASi) were used as counter and reference electrode \(\mathrm{(E^{\circ} = 0.206V)}\) , respectively. Acquired data was processed by GPES software package.
+
+<|ref|>text<|/ref|><|det|>[[141, 386, 857, 666]]<|/det|>
+Cyclic voltammetry experiments on freely diffusing FeMETPsc1 were performed by adapting a previously published procedure, at \(15^{\circ}\mathrm{C}^{60}\) . A \(5\mu \mathrm{L}\) drop of a \(0.76\mathrm{mM}\) METPsc1 solution in water was deposited on a square piece of a Spectra/Por (Biotech CE MWCO \(0.5 - 1\mathrm{kDa}\) ), and \(0.2\mu \mathrm{L}\) of a \(100\mathrm{mM}\) Mohr's salt solution were added to it. Then, the polished GCE was pressed against the membrane and an O- ring, to form a solution layer. The electrode was then immersed in \(20\mathrm{mM}\) HEPES buffer and \(0.3\mathrm{M}\) KCl at pH 7 for 5 minutes to reconstitute the protein. The sample volume in the electrochemical cell was \(2.0\mathrm{mL}\) . CV measurements were performed three times in the range \(2.5 - 50\mathrm{mV / s}\) of scan speed, and the third voltammogram was used to perform the analysis. Diffusion coefficient of the crystallographic model was calculated by HYDRONMR71.
+
+<|ref|>sub_title<|/ref|><|det|>[[144, 696, 400, 714]]<|/det|>
+## Photo-induced electron transfer
+
+<|ref|>text<|/ref|><|det|>[[142, 736, 857, 852]]<|/det|>
+ZnMC6\\*a was synthesized according to previously described procedures.61 A solution of \(\mathrm{Fe}^{2 + }\) METPsc1 ( \(50\mu \mathrm{M}\) ), ZnMC6\\*a ( \(40\mu \mathrm{M}\) ) and triethylamine ( \(4\mathrm{mM}\) ) in HEPES buffer ( \(20\mathrm{mM}\) ) pH 7 was prepared and placed in a rubber sealed UV- Vis cuvette. The solution was first purged with air to form the \(\mathrm{Fe}^{3 + }\) METPsc1 complex, then purged with argon prior to the photoreduction.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[101, 90, 857, 144]]<|/det|>
+1 The latter was achieved by wrapping the cuvette with a green led strip ( \(\lambda_{\mathrm{max}}\) 570 nm, 5 mW/cm \(^2\) 2 per led bulb) for 25 minutes or 15 minutes during the first or the second cycle, respectively.
+
+<|ref|>text<|/ref|><|det|>[[101, 171, 294, 191]]<|/det|>
+3 Data availability
+
+<|ref|>text<|/ref|><|det|>[[144, 214, 857, 265]]<|/det|>
+4 The crystal structure of ZnMETPsc1 complex has been deposited in wwwPDB with the accession code 5sbg.
+
+<|ref|>text<|/ref|><|det|>[[101, 279, 119, 293]]<|/det|>
+6
+
+<|ref|>sub_title<|/ref|><|det|>[[144, 311, 297, 328]]<|/det|>
+## Acknowledgements
+
+<|ref|>text<|/ref|><|det|>[[142, 340, 857, 520]]<|/det|>
+8 We wish to thank Dr. Maurizio Polentarutti for X- ray data collection and Dr. Artemis Papadaki for performing preliminary designability analysis, Prof. Flavia Nastri and Ornella Maglio for fruitful discussion and Dr. Monica Grasso for administrative support. This work was supported by Campania Region "Programma Operativo FESR Campania 2014- 2020, Asse 1" [CUP B63D18000350007] and by Italian MUR, Project SEA- WAVE 2020BKK3W9, [CUP_E69J22001140005].
+
+<|ref|>sub_title<|/ref|><|det|>[[144, 566, 312, 583]]<|/det|>
+## Author contributions
+
+<|ref|>text<|/ref|><|det|>[[142, 596, 857, 807]]<|/det|>
+16 M.C. and V.P. conceived the project and designed the miniproteins, which S.L.G. and L.L synthesized and purified. M.C. and L.L. performed the spectroscopic characterization and the electrochemical experiments; L.F.D.C., L.L. and S.L.G. conducted the crystallization and L.F.D.C. acquired crystallographic data; L.F.D.C. and M.C. determined the X- ray crystal structure; M.Chiesa and A.F. acquired and analyzed EPR data; M.C. and L.F.D.C prepared the manuscript draft; M.C., V.P. and A.L. interpreted the data, edited and finalized the manuscript with input from all authors; V.P. and A.L. supervised the project.
+
+<|ref|>sub_title<|/ref|><|det|>[[144, 853, 303, 870]]<|/det|>
+## Competing interests
+
+<|ref|>text<|/ref|><|det|>[[144, 885, 461, 902]]<|/det|>
+The authors declare no competing interests.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[105, 130, 234, 148]]<|/det|>
+## 2 References
+
+<|ref|>text<|/ref|><|det|>[[100, 157, 860, 664]]<|/det|>
+3 54. Kabsch, W. XDS. Acta Crystallogr. D Biol. Crystallogr. 66, 125- 132 (2010). 4 55. Winn, M. D. et al. Overview of the CCP4 suite and current developments. Acta Crystallogr. D Biol. Crystallogr. 67, 235- 242 (2011). 6 56. McCoy, A. J. et al. Phaser crystallographic software. J. Appl. Crystallogr. 40, 658- 674 (2007). 7 57. Liebschner, D. et al. Macromolecular structure determination using X- rays, neutrons and electrons: recent developments in Phenix. Acta Crystallogr. Sect. Struct. Biol. 75, 861- 877 (2019). 10 58. Emsley, P., Lohkamp, B., Scott, W. G. & Cowtan, K. Features and development of Coot. Acta Crystallogr. D Biol. Crystallogr. 66, 486- 501 (2010). 11 59. Burley, S. K. et al. RCSB Protein Data Bank: biological macromolecular structures enabling research and education in fundamental biology, biomedicine, biotechnology and energy. Nucleic Acids Res. 47, D464- D474 (2019). 12 60. Correia dos Santos, M. M. et al. Electrochemical studies on small electron transfer proteins using membrane electrodes. J. Electroanal. Chem. 541, 153- 162 (2003). 13 61. Caserta, G. et al. Enhancement of Peroxidase Activity in Artificial Mimochrome VI Catalysts through Rational Design. ChemBioChem 19, 1823- 1826 (2018).
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[44, 42, 311, 70]]<|/det|>
+## Supplementary Files
+
+<|ref|>text<|/ref|><|det|>[[44, 93, 765, 113]]<|/det|>
+This is a list of supplementary files associated with this preprint. Click to download.
+
+<|ref|>text<|/ref|><|det|>[[60, 130, 437, 150]]<|/det|>
+SupplementaryInformationMETPsc1. pdf
+
+<--- Page Split --->
diff --git a/preprint/preprint__02a47eb9de4e0cb0c317439a2c42e9ba3188366791805d671c879cc3765b4429/images_list.json b/preprint/preprint__02a47eb9de4e0cb0c317439a2c42e9ba3188366791805d671c879cc3765b4429/images_list.json
new file mode 100644
index 0000000000000000000000000000000000000000..99b8498ab8d02a54cada2de554faaa0b4c55982b
--- /dev/null
+++ b/preprint/preprint__02a47eb9de4e0cb0c317439a2c42e9ba3188366791805d671c879cc3765b4429/images_list.json
@@ -0,0 +1,184 @@
+[
+ {
+ "type": "image",
+ "img_path": "images/Figure_1.jpg",
+ "caption": "Figure 1. | Direct phase-contrast imaging with 4D STEM: tilt-corrected bright-field (tcBF) -",
+ "footnote": [],
+ "bbox": [],
+ "page_idx": 29
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_2.jpg",
+ "caption": "Figure 2. | Up-sampling by 8 speeds up data acquisition by 64-fold. Up-sampling for tcBF-",
+ "footnote": [],
+ "bbox": [],
+ "page_idx": 30
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_unknown_0.jpg",
+ "caption": "TcBF-STEM micrograph",
+ "footnote": [],
+ "bbox": [],
+ "page_idx": 33
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_unknown_1.jpg",
+ "caption": "cryo-EM density map",
+ "footnote": [],
+ "bbox": [
+ [
+ 510,
+ 103,
+ 872,
+ 680
+ ]
+ ],
+ "page_idx": 34
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_unknown_2.jpg",
+ "caption": "d. Fourier Shell Correlation (FSC)",
+ "footnote": [],
+ "bbox": [
+ [
+ 110,
+ 400,
+ 490,
+ 686
+ ]
+ ],
+ "page_idx": 36
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_1i.jpg",
+ "caption": "Fig. S1| A contour plot of the thickness estimate for the sample shown in Fig.1i-n. The thickness is estimated with the inelastic MFP using Beer's law. Using the EFTEM dataset, we obtain a ratio of I0/I, where I0 is the intensity recorded over vacuum, and I is the energy filtered intensity with a 10-eV slit recorded over the sample. The thickness is estimated In(I0/I)\\*inelastic MFP. The inelastic MFP used here is 310 nm for vitrified ice at 300 kV41.",
+ "footnote": [],
+ "bbox": [
+ [
+ 120,
+ 100,
+ 877,
+ 377
+ ]
+ ],
+ "page_idx": 37
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_unknown_3.jpg",
+ "caption": "Fig. S2| To facilitate sub-scan-pixel image shifting, each real-space image formed by a single",
+ "footnote": [],
+ "bbox": [
+ [
+ 127,
+ 90,
+ 880,
+ 355
+ ]
+ ],
+ "page_idx": 38
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_2d.jpg",
+ "caption": "Fig. S3| Normalization of uneven distributions of sub-pixel shifts: the same up-sampled image shown in Fig. 2d with the periodic intensity variations amplified in the blue-boxed area (b) for better visibility. By tracking the sub-pixel shift distribution (d) and applying an intensity normalization based on this distribution, the periodic artifacts can be corrected (c).",
+ "footnote": [],
+ "bbox": [
+ [
+ 130,
+ 95,
+ 830,
+ 601
+ ]
+ ],
+ "page_idx": 41
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_unknown_4.jpg",
+ "caption": "Fig. S4| Higher-order interpolation padding: line profiles (left) illustrate in 1D the results of padding with zero-intensity pixels and progressing to quintic interpolation values. The corresponding FFTs of the up-sampled images are shown on the right.",
+ "footnote": [],
+ "bbox": [
+ [
+ 115,
+ 88,
+ 880,
+ 285
+ ]
+ ],
+ "page_idx": 41
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_unknown_5.jpg",
+ "caption": "Fig. S5| The aperture-free, complex PCTF for \\(300\\mathrm{kV}\\) electrons and \\(700\\mathrm{nm}\\) defocus in a Zemlin tilt-tableau out to \\(5.5\\mathrm{mrad}\\) of tilt. The x-y coordinates within each frame are spatial frequencies of the image, \\(\\omega\\) , and the tilt offset of each frame is \\(\\pmb \\theta\\) . With no objective (condenser) aperture and no higher order aberrations, the power spectrum of each image under tilted illumination is identical.",
+ "footnote": [],
+ "bbox": [
+ [
+ 118,
+ 90,
+ 763,
+ 550
+ ]
+ ],
+ "page_idx": 43
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_unknown_6.jpg",
+ "caption": "Fig. S6| The symmetric and antisymmetric components of the PCTF for 300 kV electrons with a 5.5 mrad objective (condenser for STEM) in a Zemlin tilt-tableau out to 5.5 mrad of tilt .",
+ "footnote": [],
+ "bbox": [
+ [
+ 118,
+ 95,
+ 874,
+ 285
+ ]
+ ],
+ "page_idx": 43
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_unknown_7.jpg",
+ "caption": "Fig. S7| The power spectrum for \\(300\\mathrm{kV}\\) electrons and \\(700\\mathrm{nm}\\) defocus with a \\(5.5\\mathrm{mrad}\\) objective (condenser) in a Zemlin tilt-tableau out to \\(5.5\\mathrm{mrad}\\) of tilt. This highlights the strong modulations in the overlap region, and the weaker transfer in the sidelobes, but with an information limit of twice the aperture radius.",
+ "footnote": [],
+ "bbox": [
+ [
+ 115,
+ 92,
+ 710,
+ 550
+ ]
+ ],
+ "page_idx": 43
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_unknown_8.jpg",
+ "caption": "Fig. S9| To overcome the low-SNR challenge for imaging frozen-hydrated apoferritin, 4-by-4",
+ "footnote": [],
+ "bbox": [],
+ "page_idx": 44
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_unknown_9.jpg",
+ "caption": "Fig S10| EFTEM of VLP PP7 SPA with 900 particles reaches a nominal resolution of \\(3.36\\mathrm{\\AA}\\) . The EFTEM data is acquired on a Cs-corrected TFS Krios at an accelerating voltage of \\(300\\mathrm{kV}\\) . The image pixel size is \\(1.076\\mathrm{\\AA}\\) and the total dose is \\(52.18\\mathrm{e}^{-} / \\mathrm{\\AA}^2\\) . The defocus ranges from -1μm to -2μm. The final reconstruction is obtained with 900 particles and the analysis is done with cryoSPARC44.",
+ "footnote": [],
+ "bbox": [
+ [
+ 163,
+ 95,
+ 816,
+ 243
+ ]
+ ],
+ "page_idx": 45
+ }
+]
\ No newline at end of file
diff --git a/preprint/preprint__02a47eb9de4e0cb0c317439a2c42e9ba3188366791805d671c879cc3765b4429/preprint__02a47eb9de4e0cb0c317439a2c42e9ba3188366791805d671c879cc3765b4429.mmd b/preprint/preprint__02a47eb9de4e0cb0c317439a2c42e9ba3188366791805d671c879cc3765b4429/preprint__02a47eb9de4e0cb0c317439a2c42e9ba3188366791805d671c879cc3765b4429.mmd
new file mode 100644
index 0000000000000000000000000000000000000000..6f537e22ca924f03275f376a06562b25e7bf1a2c
--- /dev/null
+++ b/preprint/preprint__02a47eb9de4e0cb0c317439a2c42e9ba3188366791805d671c879cc3765b4429/preprint__02a47eb9de4e0cb0c317439a2c42e9ba3188366791805d671c879cc3765b4429.mmd
@@ -0,0 +1,670 @@
+
+# Dose-Efficient Cryo-Electron Microscopy for Thick Samples using Tilt-Corrected Scanning Transmission Electron Microscopy, Demonstrated on Cells and Single Particles
+
+Yue Yu
+
+yue.yu@czii.org
+
+Chan Zuckerberg Institute for Advanced Biological Imaging https://orcid.org/0000- 0002- 3248- 9678
+
+Katherine Spoth
+
+Hauptman- Woodward Medical Research Institute https://orcid.org/0000- 0003- 1168- 5829
+
+Michael Colletta
+
+School of Applied and Engineering Physics, Cornell University
+
+Kayla Nguyen
+
+Department of Physics, University of Oregon
+
+Steven Zeltmann
+
+PARADIM, Materials Science & Engineering Department, Cornell University,
+
+Xiyue Zhang
+
+School of Applied and Engineering Physics, Cornell University
+
+Mohammadreza Paraan
+
+Chan Zuckerberg Institute for Advanced Biological Imaging
+
+Mykailo Kopylov
+
+The National Resource for Automated Molecular Microscopy, Simons Electron Microscopy Center, New York Structural Biology Center, New York, NY
+
+Charlie Dubbeldam
+
+New York Structural Biology Center
+
+Daniel Serwas
+
+Chan Zuckerberg Institute for Advanced Biological Imaging
+
+Hannah Siems
+
+Chan Zuckerberg Institute for Advanced Biological Imaging
+
+David Muller
+
+School of Applied and Engineering Physics, Cornell University https://orcid.org/0000- 0003- 4129- 0473
+
+Lena Kourkoutis
+
+School of Applied and Engineering Physics, Cornell University
+
+<--- Page Split --->
+
+## Article
+
+## Keywords:
+
+Posted Date: August 29th, 2024
+
+DOI: https://doi.org/10.21203/rs.3.rs- 4917330/v1
+
+License: © This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+Additional Declarations: There is NO Competing Interest.
+
+Version of Record: A version of this preprint was published at Nature Methods on September 23rd, 2025. See the published version at https://doi.org/10.1038/s41592-025-02834-9.
+
+<--- Page Split --->
+
+# Dose-Efficient Cryo-Electron Microscopy for Thick Samples using Tilt-Corrected Scanning
+
+# Transmission Electron Microscopy, Demonstrated on Cells and Single Particles
+
+Yue Yu \(^{1,2*}\) , Katherine A. Spoth \(^{1,3*}\) , Michael Colletta \(^{1}\) , Kayla X. Nguyen \(^{1,4*}\) , Steven E. Zeltmann \(^{1,5}\) , Xiyue S. Zhang \(^{1}\) , Mohammadreza Paraan \(^{2}\) , Mykhailo Kopylov \(^{6}\) , Charlie Dubbeldam \(^{6}\) , Daniel Serwas \(^{2}\) , Hannah Siems \(^{2}\) , David A. Muller \(^{1,7*}\) , Lena F. Kourkoutis \(^{1,7}\) \(^{1}\) School of Applied and Engineering Physics, Cornell University, Ithaca, NY, 14853, USA \(^{2}\) Chan Zuckerberg Institute for Advanced Biological Imaging, Redwood City, CA, 94063, USA \(^{3}\) Hauptman- Woodward Medical Research Institute, 700 Ellicott Street, Buffalo, NY, 14203, USA \(^{4}\) Department of Physics, University of Oregon, Eugene, OR 97403, USA \(^{5}\) PARADIM, Materials Science & Engineering Department, Cornell University, Ithaca, NY, 14853, USA \(^{6}\) New York Structural Biology Center, New York, NY 10027, USA \(^{7}\) Kavli Institute at Cornell for Nanoscale Science, Cornell University, Ithaca, NY14853, USA \(^{\dagger}\) Corresponding authors: yue.yu@czii.org, david.a.muller@cornell.edu
+
+## Abstract:
+
+Cryo- EM is a powerful tool in structural biology, providing insights through techniques like single- particle analysis (SPA) and cryogenic electron tomography (cryo- ET). In thick specimens, challenges arise as an exponentially larger fraction of the transmitted electrons lose energy from inelastic scattering and can no longer be properly focused as a result of chromatic aberrations in the post- specimen optics. Rather than filtering out the inelastic scattering at the price of reducing potential signal, as is done in energy- filtered transmission electron microscopy (EFTEM), we show how a dose- efficient and unfiltered image can be rapidly obtained using tilt- corrected bright- field scanning- TEM (tcBF- STEM) data collected on a pixelated detector. Enhanced
+
+<--- Page Split --->
+
+contrast and a 3- 5x improvement in collection efficiency are observed for 2D images of intact bacterial cells and large organelles using tcBF- STEM compared to EFTEM for thicknesses beyond \(500~\mathrm{nm}\) . As a proof of concept for the technique's performance in structural determination, we present an SPA map at subnanometer resolution for a highly symmetric virus- like particle (VLP) with 789 particles. These findings suggest applications for tcBF- STEM in cryo- EM of thicker cellular volumes where current approaches struggle.
+
+## Main:
+
+Cryogenic electron microscopy (cryo- EM) provides powerful insights into the study of biological systems by revealing molecular structures in their close- to- native environments1-3. Single particle analysis (SPA) has enabled structural determination of purified macromolecular complexes up to atomic resolution4,5. Cryogenic electron tomography (cryo- ET) with subtomogram averaging (STA) has been developed to resolve macromolecular structures in biological contexts including within slices of whole cells6,7. Compared to SPA, fewer structures have been resolved at high resolution by cryo- ET with STA with one of the main limitations being the increased specimen thickness for cellular structures compared to the preparations for the purified molecules. This increased sample thickness leads to an exponential decrease in the elastically- scattered signal, especially at high sample tilts8 or lower beam voltages9. In the conventional transmission electron microscopy (TEM) geometry, the imaging optics are placed after the sample, and chromatic blur in the post- specimen optics leads to a strong defocusing of the inelastically scattered electrons. Energy- filtered TEM (EFTEM) removes this blur caused by inelastic scattering but in doing so reduces the collected signal and dose- efficiency compared to an ideal microscope10,11. Chromatic aberration correction could in principle correct some of this
+
+<--- Page Split --->
+
+inelastic blur over a limited energy range and it is an ongoing topic of active research to improve the energy range, stability and resolution12,13.
+
+It has also long been recognized that in the scanning transmission electron microscopy (STEM) geometry, where the electron beam is focused to a small spot and then rastered across the specimen, that post- specimen chromatic aberrations should not compromise the probe size. This is because in STEM the probe- forming optics are placed before the sample, and before any inelastic scattering can occur, thus STEM imaging should be less susceptible to specimen- induced chromatic blurring (instead the chromatic blur in the post- specimen optics degrades the angular coherence of the diffraction pattern). Consequently, the possibility of studying \(\mu \mathrm{m}\) - thick biological samples with STEM tomography has been explored both experimentally and theoretically, utilizing coherent, incoherent signals and a combination of both14- 18.
+
+Recent advances in the design of STEM detectors19- 22 have enabled rapid 4D- STEM data acquisition, where almost all of the scattered electrons are collected as 2D images of convergent beam electron diffraction (CBED) patterns, and recorded over a 2D grid of probe positions, as sketched in Fig.1a. 4D- STEM has simplified the implementation of other STEM phase imaging techniques such as (integrated) differential phase contrast (iDPC- )STEM23 and electron ptychography24- 26. Efforts have been made to optimize these techniques for applications in structural biology studies. iDPC- STEM has generated the first SPA map of macromolecules embedded in vitrified ice by a STEM technique at near- atomic resolution23. Initial attempts at low- dose ptychography have been performed on purified virus- like- particles (VLPs) at nanometer resolution with a limited number of particles24,25. More recent demonstrations have shown that SPA of thin sections with ptychography can resolve protein structures at a sub- nanometer level26, including a 5.8A SPA map of apoferritin reconstructed from \(\sim 11,000\) particles.
+
+<--- Page Split --->
+
+This performance is still worse than EFTEM and TEM when beam- induced motion is corrected, and suggests the resolution limit is not the instrument optics, but likely related to uncorrected sample motion under the beam. To date, both the iDPC and ptychography studies have focused on relatively thin samples that were optimized for SPA applications.
+
+Here we describe how, in STEM geometry, a new dose- efficient phase- contrast imaging technique—tilt- corrected bright- field (tcBF- ) STEM—could prove useful for imaging thick samples, while still providing comparable spatial resolution for thin samples. With this technique, we were able to resolve features in thick samples (roughly 500- 800 nm thick) that were not visually discernible with EFTEM under comparable conditions in intact bacterial cells and large organelles. Additionally, with single particle approach, we present a \(\sim 7\) Å nominal resolution 3D map for a highly symmetric virus- like particle (VLP) from 789 particles as proof of feasibility for structural determination with tcBF- STEM. Our earlier work on tcBF can be found in a series of short conference abstracts27- 31 but a detailed writeup of the method had been delayed by the illness and untimely passing of our colleague Lena Kourkoutis, and here we provide a more in- depth description. This technique is computationally much faster than iterative ptychography, so could be used for live monitoring while collecting 4D- STEM data. We note this technique is starting to find applications in the development of low- dose ptychography for cryo- EM applications and materials science studies26,32.
+
+The starting point for tcBF- STEM is the collection of a 4D- STEM data set (Fig.1a), similar to what might be recorded for an out- of- focus ptychographic reconstruction33. For tcBF- STEM, each pixel within the bright- field (BF) disk functions as a coherent BF detector subtending a sufficiently small collection angle. From the theorem of reciprocity34, the STEM image produced from the detector pixel on the optical axis is equivalent to a conventional BF
+
+<--- Page Split --->
+
+TEM image, and those STEM images produced by off- axis detector pixels are equivalent to BF TEM images formed with tilted illumination (Fig. 1b). These equivalent beam tilts give rise to image shifts that depend on the aberration function \(^{35,36}\) , and are particularly simple when the dominant aberration is defocus. (There are some important differences for inelastic scattering \(^{37}\) that we discuss below and more details are given in the online methods section, where we follow the image analysis framework laid out by Rose \(^{37}\) .) Such an image shift is demonstrated with two images obtained with two off- axis detector pixels (Fig. 1c- d). The shifts are measured and corrected on a (detector) pixel- by- pixel basis. Fig. 1e and 1g illustrate the resolved shift map overlaid on the averaged CBED pattern. Each individual image, after shift correcting, is then combined to create the final tcBF- STEM image (Fig. 1h). Compared to the BF images formed by single detector pixel (Fig. 1d), the tcBF- STEM image has a significantly improved SNR because almost all the signal- relevant signals are utilized. Furthermore, compared to the image formed by directly integrating over the full BF disk (Fig. 1f), tcBF preserves phase contrast. When reconstructing a tcBF- STEM image, a simultaneous measurement of the probe aberration function can be obtained. In fact, one of the early applications of a shift analysis of 4D- STEM datasets was for aberration measurement \(^{38}\) , by analogy with the TEM beam tilt methods \(^{35}\) . In tcBF- STEM, like in conventional BF- TEM, defocus is deliberately introduced to enhance contrast. Consequently, in Fig.1 e and g, the magnitudes are linearly proportional to the defocus and the off- axis angles, and are oriented outwards. The linearity of the shift with angle also makes it possible to measure the depth of objects by the resulting parallax effect \(^{22}\) .
+
+We are now also in a position to understand the challenges for dose- efficient STEM with a single- pixel detector, and why tcBF- STEM overcomes that. By reciprocity, the conventional TEM geometry would be reproduced in STEM with a single small- pixel detector on the optic
+
+<--- Page Split --->
+
+axis. The smaller the angular range of the detector, the more coherent the signal – in TEM mode, this would be equivalent to the illumination angle. But in STEM mode, such a small detector collects only a tiny fraction of the incident beam – a 0.1 mrad wide collector, and a 10 mrad probe convergence angle would have a collection efficiency of 1 part in 10,000, whereas a TEM with a 0.1 mrad illumination convergence, and a 10 mrad post-specimen objective aperture would have almost perfect collection efficiency. To improve the collection efficiency in STEM, we could increase the collection angle of the detector but this will eliminate the phase contrast signal (a much weaker amplitude contrast in an incoherent image will still be present – e.g. chapter 3 of reference 39). This is because the phase-contrast signal is only measurable when there is a phase shift on the lens, but the phase shift from aberrations generates an image shift that is different for each angle. In other words, simply summing over a wide range of angles leads to a blurred image. If the dominant aberrations are defocus and coma, the images recorded on the off-axis detector pixels have similar contrast transfer functions to the on-axis pixel39 (except towards the edge of the aperture – full treatment in online methods), so the tilt-correct summation of tcBF corrects for these shifts, allowing a coherent image to be retained, and uses almost all of the incident beam - i.e. a similar dose efficiency to TEM. The presence of the aperture complicates the analysis compared to aperture-free TEM, but the end result for tcBF is a similar-looking contrast transfer function (CTF) that has an information limit at double the aperture size (see results and online methods). This is the same information limit cutoff for iDPC and bright-field ptychography, although the shapes of the CTF are very different. As we will discuss in the results section, iDPC is less efficient than tcBF at transferring low-frequency information, although it is simpler to interpret.
+
+<--- Page Split --->
+
+Moreover, tcBF- STEM has an advantage over EFTEM for thick samples. The post- specimen lenses for EFTEM are the image formation lenses so chromatic aberrations in the post- specimen lenses degrade the image resolution. However, for tcBF- STEM, the post- specimen lenses simply transfer an image of the diffraction pattern so chromatic aberrations result in a small loss of angular resolution - i.e. a small increase in the effective detector pixel size and hence a reduction in coherence. In a thick sample, most electrons undergo both elastic and inelastic scattering, but the elastic contrast is preserved when scattered to the inelastic channels \(^{37,40}\) . This is largely because the most- likely inelastic scattering events are very delocalized compared to the elastic scattering, leading to weak and low- frequency modulations of the real space signal, and only a small ( \(\sim 0.03 - 0.1\) mrad) blurring of the angular distributions.
+
+For a qualitative comparison of EFTEM and tcBF- STEM in thick specimens, we imaged the same area in a mitochondrion in succession with the two techniques (Fig.1i- n) using the same incident dose of \(14 \mathrm{e}^{- } / \mathrm{\AA}^{2}\) , and the same acceleration voltage of \(300 \mathrm{kV}\) . In the thinnest part of the sample at the organelle's edge, the membrane bilayers are similarly resolved with both methods. However, in thicker regions (Fig.1 j and m), tcBF- STEM clearly shows the bilayers (orange arrow) of the mitochondrial inner membranes whereas with EFTEM these features are less visible. In the thickest portion of the image, tcBF can still resolve some parts of the inner membranes (Fig.1 k) whereas in the EFTEM image (Fig.1 n) these features are hardly discernible. Using the unfiltered and 10- eV EFTEM images and the inelastic mean free path (MFP) for vitrified ice of \(\sim 310 \mathrm{nm}^{41}\) at \(300 \mathrm{kV}\) , the sample's thickness can be estimated (see online methods). At the mitochondrion's edge, the sample thickness is approximately 500 to 520 nm thick, while the regions shown in Fig. 1j- m is about 570 to 600 nm, and Fig. 1k- n corresponds to around 600 to 620 nm (thickness map in Fig S1). In the thickest parts (k- n), the
+
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+
+EFTEM signal has dropped to \(\sim 14\%\) of the incident dose, but the tcBF still retains \(50\%\) of the incident dose, i.e. almost \(3.6x\) more signal remaining for tcBF. Similar trends are also observed in multiple samples shown later in Fig.3, where the differences in collection efficiencies are compared quantitatively, with the relative efficiency of tcBF- STEM over EFTEM growing exponentially as the sample thickness increases.
+
+## Results
+
+## Fast Data Acquisition with tcBF-STEM Upsampling and the CTF of tcBF-STEM
+
+In tcBF- STEM the number of pixels in the reconstructed image can be made much larger than the number of diffraction patterns recorded, as at a finite defocus each diffraction pattern contains information about an extended region of the sample. This trade- off between real space and reciprocal space sampling helps speed up the data collection as the multi- pixel detectors used for tcBF tend to be slower to readout than single- pixel sensors. For instance, if each diffraction pattern records information about \(8*8\) subsampled regions, the data collection rate is sped up 64- fold, so a \(10\mathrm{kHz}\) detector frame rate becomes a \(640\mathrm{kHz}\) image- pixel rate. The recovery of information beyond the limits of the real- space probe sampling uses the information collected in the shadow images in the diffraction plane. The information retrival is achieved by a real- space upsampling through sub- (scan)- pixel image shifting. To understand the implementation of this upsampling technique, we start with a demonstration on a standard gold- on- carbon sample. This same approach is then also applied in the data reconstruction workflow for all the examples shown in the paper.
+
+<--- Page Split --->
+
+Figure 2 shows a tcBF- STEM dataset acquired with 256\*256 scan positions, spaced 8Å apart. With the chosen defocus value and scan step size (see the online method section), we expect over 90% information overlap collected in the reciprocal space. This information surplus is used to upsample a tcBF image. Details on upsampling can be found in online methods and Fig.S2 to S4. Figure 2a and 2b demonstrate the process of upsampling with part of the detector pixels. Fig. 2d is the final upsampled result with sub- scan- pixel features resolved compared to the original image (c). In Fig. 2e, Thon rings and the 2.3- Å spacing of Au are recovered through upsampling. An FFT radial average profile (g) is shown to confirm that upsampling restores the information beyond the scan Nyquist frequency without altering the information within the frequency range. The upsampling procedure achieves information transfer up to 7 times the real- space Nyquist sampling limit, effectively speeding up data acquisition by a factor of 49.
+
+The number of pixels in the image is separate from the optical resolution limit. Notably, with the \(\alpha = 5.5\) - mrad convergence semi- angle, the information transfer limit at a cutoff of \(1\alpha\) corresponds to \(3.6\mathrm{\AA}\) and \(1.8\mathrm{\AA}\) at \(2\alpha\) . The 2.3- Å spacing we observed exceeds the \(1\alpha\) cutoff and but is just within the \(2\alpha\) limit. As discussed in the previous section, tcBF has a similar- looking PCTF (Fig.2f) to BF TEM but with an information limit at double the aperture size. This is because the information limit is set by the highest spatial frequency that can be transferred, i.e. the maximum possible momentum transfer. For an axial detector, this would be from an incident wavevector on the radius of the probe- forming aperture to the axis. An off- axis detector that is displaced in the opposite direction to the incident wavevector allows for a maximum momentum transfer that spans the diameter of the aperture, doubling the information limit compared to the axial case.
+
+<--- Page Split --->
+
+The calculated phase contrast transfer function (PCTF) shown in Fig. 2f shows the tcBF image has twice the information limit compared to the BF image formed using only the axial detector pixel, as a result of exploiting this off- axis information. Details can be found in the online method section and Fig. S5- S7, including a discussion of practical limits.
+
+## Comparison of cryo-tcBF-STEM, conventional TEM, and EFTEM for imaging thick samples
+
+Indeed, we believe tcBF has an advantage for thick specimens. To compare the performance of tcBF- STEM with EFTEM, the most- widely- adopted imaging technique in cryo- EM, we performed successive imaging with the two techniques on various thick specimens, including intact bacterium cells and large cellular organelles. The incident dose is chosen to be the same for each comparison, slit width for EFTEM is \(10 \mathrm{eV}\) and the acceleration voltage is \(300 \mathrm{kV}\) . As the samples are much thicker than the depth of field, quantitative metrics on the full projection convey less information than they would for thin sections, or individual molecules at different depths (which can be determined by the parallax shift in tcBF). Instead we present comparative cases with different acquisition orders, and different defocus choices for the two techniques. Even though no high- resolution information is compared, the image acquired first still introduces radiation damage and conformation change prior to the second. Therefore, we present scenarios where EFTEM images were acquired first, as well as scenarios where tcBF- STEM images were acquired first. Additionally, CTF modulation can affect the quality comparison. However, achieving the exact same defocus for the two techniques can be challenging because the samples are thick ( \(\sim 550 \mathrm{nm}\) to \(700 \mathrm{nm}\) , table) and not flat, and switching between TEM and STEM
+
+<--- Page Split --->
+
+modes is a significant change in optical alignments. As a result, we present a series of cases where EFTEM images are measured to have defoci larger, equivalent to or smaller than those of tcBF, alongside a scenario where both techniques are targeted at the same nominal defocus.
+
+In Fig.1 (i- n), we showed a comparison on a mitochondrion where tcBF performs better at resolving inner membrane especially towards the thicker part of the organelle. This tcBF image was acquired first with less measured defocus (1.9μm, Fig.3 table I) than EFTEM (3.9μm). EFTEM defoci are measured with CTFFIND \(^{42}\) and tcBF defoci are measured from the image shifts. In this case, membrane contrast in the images is compared across the two techniques but the orientation of the membrane relative to the beam can affect its contrast so differences might be a result of warping of the sample. Another possibility is that the inherent range of tilts in tcBF illumination (up to \(\sim 7\) mrad) improves contrast for a larger range of membrane orientations. But in general, we observe improved contrast in thick specimen regions for tcBF where other features instead of membranes were compared. Fig.3a- b are EFTEM and tcBF images of an intact E.coli cell. With tcBF, features within the cell's interior (Fig.3d with arrows) are effectively resolved, while in EFTEM the same features (possibly condensates or surface contamination) are discernible but less prominent. For this comparison, EFTEM has a lesser value of measured defocus (3.7 μm) than STEM (4.2 μm). In (e) and (f), images with tcBF and EFTEM of a vesicle were acquired with very close defoci (2.8μm). Again, the features in the thick region are clearer compared to EFTEM. We attribute the improved contrast with tcBF to a more efficient use of electrons. In table (I) we compare the ratio of preserved electrons with the two methods. For the samples measured here, tcBF is observed to collect more than 3 times the number of electrons than EFTEM for the same incident dose. For another comparison on E. coli
+
+<--- Page Split --->
+
+at a low dose of \(0.5 \mathrm{e} / \mathrm{\AA}^{2}\) (i- l), tcBF is capable of resolving features that are otherwise indiscernible with EFTEM. Table I provides a summary of information on specimen, acquisition orders, doses, pixel sizes, measured or nominal defocus, thickness estimate using the EFTEM image, and a comparison of dose efficiency.
+
+Overall, a common trend is that tcBF is more likely to retain higher SNR features in thick regions of samples compared to EFTEM. Figure 4a shows the measured fraction of electrons collected for tcBF and EFTEM, where tcBF collects a factor of 3- 3.5x more signal, an advantage that grows with thickness. We expect both signals to decay exponentially with thickness (t), i.e. \(\exp (- \mathrm{t} / \lambda_{\mathrm{in}})\) for EFTEM and \(\exp (- \mathrm{t} / \lambda_{\mathrm{el}})\) for tcBF. Fitting to the tcBF data in table I, we find the elastic MFP is \(\lambda_{el} = 830 \pm 50 \mathrm{nm}\) assuming an inelastic MFP \(\lambda_{\mathrm{in}}\) of \(310 \mathrm{nm}\) , close to the expected \(\lambda_{el} = 774 \pm 45 \mathrm{nm}\) of the online methods (Figure 4a). Some sense of the relative dose efficiency of the two approaches is given by the ratio of these two exponential decays, i.e. \(\exp (\mathrm{t} / \lambda_{\mathrm{eff}}) = \exp (- \mathrm{t} / \lambda_{\mathrm{el}}) / \exp (- \mathrm{t} / \lambda_{\mathrm{in}})\) where \(- 1 / \lambda_{eff} = 1 / \lambda_{el} - 1 / \lambda_{in}\) , so \(\lambda_{eff} \approx 500 \mathrm{nm}\) . This gives the factor of 3 advantage for tcBF at \(550 \mathrm{nm}\) , and it grows to \(5 \mathrm{x}\) at \(\sim 800 \mathrm{nm}\) . Beyond a thickness of one elastic MFP, much of the phase contrast signal will be lost to multiple elastic scattering and leaving mostly amplitude contrast. This identifies an effective dose advantage window for tcBF over EFTEM for thicknesses beyond \(\sim 400 \mathrm{nm}\) .
+
+For low spatial frequencies, the collection efficiencies for tcBF and EFTEM can be compared directly because of their similar contrast transfer functions (Figure 4b). STEM methods that also collect the entire bright field disk such as DPC and iDPC can also be compared after accounting for their differences in information transfer as a function of spatial frequency. This is captured by the detective quantum efficiency (DQE) of the imaging system (online methods equations A15- 17). Figure 4c shows that tcBF is more efficient at low spatial
+
+<--- Page Split --->
+
+frequencies. The iPFC CTF and DQE peak at zero defocus and degrade with increasing defocus \(^{43}\) , unlike EFTEM and tcBF.
+
+To understand the sample damage as a function of dose, we consecutively acquire tcBF- STEM images with doses ranging from \(1.5 \mathrm{e}^{- } / \mathrm{\AA}^{2}\) to \(210 \mathrm{e}^{- } / \mathrm{\AA}^{2}\) (Fig.S8 a- d). After a cumulative exposure of \(280 \mathrm{e}^{- } / \mathrm{\AA}^{2}\) , no obvious sign of bubbling is observed, consistent with previous STEM studies \(^{16}\) , while visible bubbling effects start to form after a total exposure over \(150 \mathrm{e}^{- } / \mathrm{\AA}^{2}\) for conventional TEM \(^{16}\) . This does not mean no damage has occurred, but rather damage products have not migrated over long length scales. This suggests that for cryo- ET, the STEM operation mode might offer a higher total dose tolerance, but it also depends on the desired resolution of information from a tomogram.
+
+## Single particle analysis 3D reconstruction with cryo-tcBF-STEM imaging
+
+To quantitatively assess the current performance of tcBF- STEM for molecular structure analysis, we performed SPA of bacteriophage PP7 coat protein, achieving a nominal resolution of \(\sim 7 \mathrm{\AA}\) at 0.143 FSC cutoff using a generic cryoSPARC SPA workflow \(^{44}\) . For this analysis 789 particles are extracted from 19 tcBF- STEM micrographs. Fig. 5a displays a cropped representative micrograph with 2D class average of the particles in the inset. Per- micrograph CTF estimation was performed by CTFFIND \(^{42}\) without local refinement due to the limited number of particles. Approximately 200 particles were manually picked to generate the template for template picking, and 789 particles were selected. The selected classes were then used for ab initio model generation, as a starting model for the homogeneous refinement with icosahedral symmetry applied. Fig. 5b presents the cryo- EM density map sharpened with Guinier B factor of 351 \(\mathrm{\AA}^{2}\) based on the Guinier plot analysis of the 3D reconstruction. A zoom- in view of the EM density
+
+<--- Page Split --->
+
+with X- ray crystal structure of the particle docked inside (Protein Data Bank code 1DWN \(^{45}\) ) is shown in (c). Fourier shell correlation (FSC) indicates a nominal resolution of 7.03 Å with cryoSPARC dynamic mask and 9.6 Å with no mask.
+
+VLPPP7 possesses an icosahedral symmetry with triangulation number \(\mathrm{T} = 3\) , theoretical molecular weight of 2MDa, containing a high number of repeated units per particle which allows efficient structural averaging with a smaller number of particles. \(\sim 7 - \mathrm{\AA}\) resolution demonstrates the feasibility of using tcBF- STEM for structural analysis at a resolution that can resolve some secondary structures such as alpha helices. We also have preliminary experimental results suggesting no resolution limit improvements with the current ptychography algorithms with a similar number of particles. On the other hand, state- of- art EFTEM imaging under similar doses and the same accelerating voltage can achieve 3.5 Å nominal resolution with 900 particles (Fig. S10). We also attempted iDPC on the same specimen with a 1000kHz segmented detector (Fig. S11) and observed lower- quality phase contrast. We suspect this was mainly due to a poor experimental focus determination as we found iDPC to be very sensitive to focus settings. The supporting Quantifoil material for this sample is gold and the thickness is 50 nm. Low- dose constraints restricted focusing to be only on the supporting foil instead of the sample and the 50- nm- thick supporting foil can introduce a focus offset.
+
+## Discussion
+
+We demonstrate tcBF- STEM imaging on purified single particle VLPs and vitrified cellular specimens. A comparative analysis with EFTEM highlights the higher dose efficiency of tcBF- STEM, particularly for thick specimens. The performance of tcBF- STEM on thick specimens in two scenarios was further demonstrated, under low- dose imaging and under cumulative
+
+<--- Page Split --->
+
+exposures, suggesting potential advantages of tcBF for cryo- ET applications. As a proof- of- concept for using this technique for structural determination, tcBF SPA with VLPs shows a \(\sim 7 \mathrm{\AA}\) nominal resolution 3D map using a generic processing workflow for conventional TEM with \(\sim\) 800 particles.
+
+A key advantage of tcBF is in imaging thick specimens, as it is relatively insensitive to specimen- introduced energy losses. tcBF- STEM stands out as a STEM technique due to its high- dose efficiency, as it takes advantage of nearly all the forward- scattering electrons, making it a potentially powerful imaging technique for studying thick, dose- sensitive specimens, showing a twofold dose advantage over EFTEM at \(400 \mathrm{nm}\) growing to fivefold at \(800 \mathrm{nm}\) .
+
+Figure 4b compares the CTF for tcBF and DPC, which are the recorded signals we need for estimating the signal/noise ratios for the two methods. The detective quantum efficiencies (DQE) for tcBF and iDPC are proportional to squares of the CTFs plotted in Figure 4b (see online methods equation A16 for it is the DPC CTF and not the iDPC CTF that determines the iDPC DQE). While both approaches have the same information limit, tcBF has a higher information transfer at low spatial frequencies where much of the relevant structural information in a thick sample is located. In the language of ptychography46, tcBF is able to access both the double and triple- overlap regions, while DPC and single- sideband ptychography access only the double overlap (see online methods). tcBF is also able to surpass the real- space scanning Nyquist limit, offering a possibility for rapid data acquisition by trading detector pixels for real- space positions, important for out- running environmental noise in cryogenic experiments. Compared to ptychography, we find tcBF will still produce a robust image under thickness and dose conditions where our current ptychographic forward models fail to converge, and indeed there is a benefit to starting the ptychographic reconstruction from the information provided by
+
+<--- Page Split --->
+
+tcBF, especially the estimate of the probe shape. Furthermore, at low doses where the signal is dominated by the central disk, our analysis summarized in Figure 4b,c gives insight into where the signals accessible to ptychography are encoded. Close to in- focus conditions, only the anti- Friedel term of the PCTF used in DPC and SSB imaging is available. At large defocus, the Friedel term of the PCTF used in tcBF and provides phase contrast at low frequencies is also accessible. This suggests low- dose ptychography should be performed at large defocii conditions similar to those used for tcBF.
+
+Overall, there are many lessons learned in the decades it took for EFTEM SPA to reach its present resolution that can also be applied to both the algorithm development and experimental design for tcBF and ptychography to boost their performances to comparable levels for thin specimens, and potentially well beyond for thick samples. One of the directions to improve is specimen motion correction. The movie mode and motion correction developed for conventional TEM operation mode effectively accounts for the thermal and mechanical drift and the beam- induced specimen motion47,48. In tcBF- STEM, upsampling effectively reduces the data acquisition time, thereby mitigating the impact of slow drift but beam- induced motion is not handled. Beam- induced motion, reflected by the large B factors in our tcBF reconstruction and other contemporary ptychography reconstructions, are probably the major factor limiting resolution. Current 4D- STEM pixel array detectors are still too slow to incorporate these corrections directly, but analogous correction modes should be possible. Both tcBF and ptychography already contain information in the overlapping probe positions that could be used to correct the beam- induced motion. At present this correction is limited by the dose/recorded diffraction pattern, but a fast detector design with a larger pixel count could address this by allowing for a larger illuminated area/pattern. In summaey, to fully exploit this information may
+
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+
+require a new, faster generation of detectors and scan systems to meaningfully decipher the underlying specimen motion and time- ordered information. Future efforts aimed to enhance the performance of tcBF- STEM involve addressing beam- induced specimen motion and exploring the practical resolution limits of this technique. This includes using an increased probe convergence angle and higher- order probe aberrations, as well as exploiting the parallax effect to determine and correct the defocus for individual structures within thick sections.
+
+## Online methods
+
+## tcBF-STEM upsampling
+
+For the dataset shown in Fig.2, there are \(256 \times 256\) scan positions with a 5.5 mrad convergence semi- angle probe- forming aperture \((\alpha)\) . A scan step size of \(8 \mathring{\mathrm{A}}\) is used, which sets a real- space Nyquist limit corresponding to \(16 \mathring{\mathrm{A}}\) . With a defocus of \(1.3 \mu \mathrm{m}\) (nominal) is applied, the diameter of the illumination spot size on the sample plane is about \(13 \mathrm{nm}\) . With an \(8 - \mathring{\mathrm{A}}\) scan step size, the collected diffraction patterns contain a substantial amount of overlapping information. This surplus of information is utilized to achieve real- space upsampling through sub- (scan)- pixel image shifting. To implement upsampling, each image formed by a single detector pixel is padded before shift- correcting (Fig. S2), and then combined. The combined image is then weighted by the distribution of sub- pixel image shifts (Fig. S3). Different padding options are also compared and assessed in the supplemental information (Fig. S4). Zero- padding is observed to preserve information- transfer beyond the scan sampling. The PCTF simulation for tcBF and BF uses \(5.5 \mathrm{mrad}\) for convergence semi- angle and \(700 \mathrm{nm}\) defocus. Measuring image shifts in tcBF- STEM can also be regularized using the probe aberration function. All cryogenic tcBF
+
+<--- Page Split --->
+
+images presented here benefit from this regularization, and a comparison with and without regularization is shown in (Fig. S9).
+
+The limits of upsampling practically depends on several factors in addition to the optical resolution limit. Reciprocal- space sampling, real- space probe overlapping, and real- space image shift accuracy are critical factors for information retrieval through upsampling. Reciprocal- space sampling is primarily determined by the camera length, which is chosen to optimize the collection angle and angular resolution for a given detector. The degree of upsampling we can achieve is also limited by the accuracy of the image shift determination. Insufficient SNR in cross correlation can hinder the accuracy of image shift determination, which usually happens when the image SNR is low. It is possible to improve the accuracy by leveraging knowledge of the expected probe aberration function. It is also important to note that there is a trade- off between fineness of the reciprocal- space sampling and the SNR in the images formed by individual pixels in real space. Additionally, variations in the CTFs from higher- order aberrations and the impact of the aperture edge at different angular positions in the diffraction space, can also lead to false shift determinations.
+
+## The contrast transfer function for tilted-beam imaging
+
+In linear imaging theory the image contrast \(C(\omega)\) can be written as
+
+\[C(\omega) = P C T F(\omega) \frac{F_{p}(\omega)}{\lambda} \quad (-A1)\]
+
+where \(F_{p}\) is the elastic scattering amplitude of the projected object and \(\lambda\) is the electron wavelength \(^{48}\) . In general, the phase contrast transfer function (PCTF) can be complex, with the real part corresponding to angularly symmetric (i.e. Friedel- like) scattering, and the imaginary part to antisymmetric scattering. (At the lowest order of approximation, these terms would
+
+<--- Page Split --->
+
+correspond to weak phase and weak amplitude approximations). Rose considered the phase contrast for samples which have undergone both elastic and inelastic scattering, with the case for a tilted beam given by equation 26 of reference \(^{48}\) . For weakly scattering objects, the quadratic and higher- order terms in his equation (26) can be neglected and a simpler, linear PCTF is given by Rose's equation (33)
+
+\[PCTF(\omega) = \frac{i}{2\Omega_{0}}\int A(\pmb {\theta})D(\pmb {\theta})\big[A(\omega - \pmb {\theta})e^{-i[\chi(\omega -\pmb {\theta}) - \chi(\pmb {\theta})]} - A(\omega +\pmb {\theta})e^{+i[\chi(\omega +\pmb {\theta}) - \chi(\pmb {\theta})]}\big]d^{2}\pmb {\theta}\]
+
+-(A2)
+
+which we interpret here in terms of the STEM geometry where \(\omega , \theta\) are momentum vectors projected onto the detector in the diffraction plane and normalized as scattering angles (which are a vector in this plane, hence the bold notation). We also introduce the factor of \(\frac{1}{2}\) to be consistent with the modern definition that the magnitude of the PCTF is \(\leq 1\) (See reference 48, 2nd column, top of pg 259). \(A(\pmb {\theta})\) and \(D(\pmb {\theta})\) are the probe- forming and detector functions, which are 1 inside the apertures, and 0 outside. \(\chi (\omega)\) is the aberration function of the objective lens and \(\Omega_{0} \approx \pi \alpha^{2}\) is the solid angle subtended by the objective aperture, which cuts off at angle \(\alpha\) . For a pixelated detector with small pixels (i.e. the change in \(\chi\) across a single pixel is small), \(D(\pmb {\theta}) \approx \delta (\pmb {\theta})\) and equation (A2) simplifies to
+
+\[PCTF(\omega ,\pmb {\theta}) = i / \Omega_{0} A(\pmb {\theta})\{A(\omega -\pmb {\theta})e^{-i[\chi(\omega -\pmb {\theta}) - \chi(\pmb {\theta})]} - A(\omega +\pmb {\theta})e^{+i[\chi(\omega +\pmb {\theta}) - \chi(\pmb {\theta})]}\} \quad (-A3)\]
+
+where \(\omega\) is the spatial frequency in the image, and \(\pmb{\theta}\) is the collection angle (i.e. pixel) on the detector, so \(PCTF(\omega , \pmb {\theta})\) gives the PCTF for the image formed by scanning the probe in sample plane and collecting the signal at pixel \(\pmb{\theta}\) on the detector. The \(PCTF(\omega , \pmb {\theta})\) without an aperture is shown in Fig. S5 for a range of different tilts \(\pmb{\theta}\) and the corresponding \(PCTF(\omega , \pmb {\theta})\) for an aperture is shown in Fig. S6.
+
+<--- Page Split --->
+
+For the special case of axial illumination ( \(\pmb \theta = 0\) ) the PCTF reduces to the bright field
+
+CTF of \(- \sin (\chi (\omega))\) . This would also have a cutoff at \(|\omega | = \alpha\) . The tilted beam case has non
+
+zero contributions outside the aperture, up to a cutoff of \(2\alpha\) when \(|\pmb \theta | = \alpha\) from the terms
+
+\(A(\pmb \theta)A(\pmb \omega - \pmb \theta),A(\pmb \theta)A(\pmb \omega +\pmb \theta)\) . This is the same information limit as the ADF and iDPC
+
+imaging, and double that of the axial bright field signal. The power spectrum of the apertured
+
+PCTF (Fig. S7) shows the double- resolution limit.
+
+We can get a sense of how the aberrations lead to shifts in the image, by considering the special case where the dominant aberration is defocus so
+
+\[\chi (\pmb \theta) = -\gamma_{2}k_{0}\Delta f|\pmb \theta |^{2} \quad (-A4)\]
+
+where \(k_{0} = \frac{2\pi}{\lambda}\) . The PCTF then further simplifies to
+
+\[PCTF(\omega ,\pmb \theta) = i / \Omega_{0}A(\pmb \theta)\{A(\pmb \omega -\pmb \theta)e^{+\gamma_{2}ik_{0}\Delta f\omega^{2}} - A(\pmb \omega +\pmb \theta)e^{-\gamma_{2}ik_{0}\Delta f\omega^{2}}\} e^{-i(\Delta f\pmb \theta)\cdot (k_{0}\pmb \omega)} \quad (-A5)\]
+
+From the Fourier shift theorem, when transforming from the diffraction plane \(k_{0}\omega\) to the image
+
+plane \(\pmb{x}\) , the \(e^{- i(\Delta f\pmb \theta)\cdot (k_{0}\omega)}\) term in (A5) gives a shift of the image in real space of \(\Delta f\pmb \theta\) , i.e. a
+
+shift proportional to the defocus and the angle from the axis on the detector. This is the tilt that
+
+is corrected by tcBF. The defocus aberration from the \(e^{\pm \gamma_{2}ik_{0}\Delta f\omega^{2}}\) terms are still present in the
+
+CTF and the tilt- corrected PCTF becomes
+
+\[PCTF(\omega ,\pmb \theta) = i / \Omega_{0}A(\pmb \theta)\{A(\omega -\pmb \theta)e^{+\gamma_{2}ik_{0}\Delta f\omega^{2}} - A(\omega +\pmb \theta)e^{-\gamma_{2}ik_{0}\Delta f\omega^{2}}\} (-A6)\]
+
+The tcBF CTF is obtained by summing over all tilt angles \(\pmb \theta\) . This is most easily accomplished
+
+by first summing symmetrically over pairs of angles at \(\pmb \theta\) and \(- \pmb \theta\) :
+
+\[PCTF(\omega , + \pmb \theta) + PCTF(\omega , - \pmb \theta) = (-2 / \Omega_{0}A(\pmb \theta)\{A(\omega -\pmb \theta) + A(\omega +\pmb \theta)\} \sin (\gamma_{2}k_{0}\Delta f\omega^{2})) - (A7)\]
+
+and then completing the sum over half of the central disk (say all \(\pmb \theta_{x} > 0\) ). In polar coordinates
+
+\(\pmb \theta = (\pmb \theta , \pmb \phi)\) and for a disk of diameter \(\alpha\) we integrate over \(\pmb \theta\) and \(\phi\)
+
+<--- Page Split --->
+
+\[C T F_{t c B F}(\omega) = -(2 / \pi \alpha^{2})\left[\int_{0}^{\pi}d\phi \int_{0}^{\alpha}\Theta \mathrm{d}\Theta A(\Theta)\{A(\omega -\Theta) + A(\omega +\Theta)\}\right]\sin (\gamma_{2}k_{0}\Delta f\omega^{2}) \quad (-A8)\]
+
+- (A8)
+
+The integral over \(\Theta\) gives the area of the overlap of disks of diameter \(\alpha\) that are \(\omega\) apart, and can be found in the appendix of reference 48 as
+
+\[\mathcal{L}(\omega) = \left\{ \begin{array}{c c}{\frac{2}{\pi}\left[\cos^{-1}\left(\frac{1}{2}\omega\right) - \frac{1}{2}\sqrt{1 - \frac{1}{4}\omega^{2}}\right],} & {0\leq \omega \leq 2}\\ {0,} & {\omega \geq 2} \end{array} \right.\]
+
+\(\mathcal{L}(\omega)\) is the well- known envelope for a self- luminous object, such as for the annular dark field contrast transfer function. The tcBF CTF can then be written more compactly as
+
+\[C T F_{t c B F}(\omega) = -\mathcal{L}(\omega)\sin (\gamma_{2}k_{0}\Delta f\omega^{2}) \quad (-A9).\]
+
+## Comparison of the contrast transfer function for tcBF with DPC
+
+The optimal CTF for DPC and iDPC is the in- focus condition with no aberrations inside the aperture. Then \(\chi (\theta) = 0\) and the general PCTF simplifies to
+
+\[P C T F(\omega) = (i / \Omega_{0})A(\Theta)\{A(\omega -\Theta) - A(\omega +\Theta)\} \quad (-A10)\]
+
+i.e \(\Re (P C T F) = 0\) at zero defocus, and only the antisymmetric component remains (Fig S6c).
+
+The DPCx signal is produced by subtracting all the left- tilted \((\Theta_{x}< 0)\) from the right- tilted \((\Theta_{x} > 0)\) detector signals and then summing to produce the DPC CTF of Figure 4b.
+
+At \(\Theta = 0\) the \(P C T F(\omega) = 0\) , and the PCTF remains 0 so long as \(|\omega |< \alpha\) , \(|\omega - \Theta |< \alpha\) and \(|\omega + \Theta |< \alpha\) giving the white regions in each frame of Fig. S6c. In ptychography, this is referred to as the triple overlap region \(^{46}\) , reflecting the simultaneous overlap of the \(+\omega\) and \(-\omega\) beams with the incident beam (in ptychography, this is usually displayed in detector plane \(\Theta\) for a range of selected \(\omega\) while we have displayed the \(\omega\) plane for a range of selected \(\Theta\) ), and is zero
+
+<--- Page Split --->
+
+for in- focus imaging. When a phase shift is deliberately introduced, this triple- overlap provides the phase contrast for BF imaging, but still remains zero for DPC and single- side band (SSB) ptychography (white regions of Fig S6b). DPC and SSB rely on the double- overlap region where \(|\omega |< \alpha\) and either \(|\omega - \Theta |< \alpha\) or \(|\omega +\Theta |< \alpha\) , but not both. Again, the information limit is the largest value of \(\omega\) for which the PCTF is non- zero. This occurs at \(|\Theta | = \alpha\) and \(\omega = 2\Theta\) , so the largest non- zero value of \(|\omega |\) is \(\omega = 2\alpha\) , double the radius of the aperture.
+
+It is important to note that the CTF in the triple- overlap region has double the amplitude of that of the double- overlap region(Figure 3 of reference 46). This suggests that tcBF should have the potential to reach double the dose- efficiency of DPC at below spatial frequencies where \(|\omega |< \alpha\) and a \(\pi /2\) phase shift can be introduced through the aberration function. This difference becomes very noticeable at low spatial frequencies where the double overlap terms tend to zero, and the triple overlap contrast can be boosted by increasing defocus.
+
+## Comparison of the Detective Quantum Efficiency (DQE) for tcBF and iDPC
+
+The iDPC CTF is obtained from the DPC CTF by integration in real space, corresponding to a division by spatial frequency in Fourier space as
+
+\[PCTF_{iDPC}(\omega) = \frac{PCTF_{DPC_x}(\omega) + iPCTF_{DPC_y}(\omega)}{i(k_x + ik_y)} \quad (-A11)\]
+
+The power spectrum of the recorded DPC image in the presence of a noise spectrum \(N(\omega)\) is
+
+\[P_{DPC}(\omega) = |PCTF_{DPC_x}(\omega)|^2 |F_p(\omega)|^2 /\lambda^2 +\alpha^2 |N(\omega)|^2 \quad (-A12)\]
+
+The power spectrum for iDPC based on the DPC measurement with noise is
+
+\[P_{iDPC}(\omega) = \frac{|PCTF_{DPC_x}(\omega)|^2 + |PCTF_{DPC_y}(\omega)|^2}{(k_x^2 + k_y^2)} |F_p(\omega)|^2 /\lambda^2 +\alpha^2 \frac{|N_x(\omega)|^2}{(k_x^2 + k_y^2)} \quad (-A13)\]
+
+The DQE of the measurement with a noise power spectrum, \(NPS(\omega)\) , is
+
+\[DQE(\omega) = DQE(0)\frac{|PCTF(\omega)|^2}{|NPS(\omega)|^2} \quad (-A14)\]
+
+For an ideal detector pixel, \(DQE(0) = 1\) and for DPC imaging the \(DQE(\omega)\) becomes
+
+<--- Page Split --->
+
+\[DQE_{DPCx}(\omega) = \frac{|PCTFD_{PCx}(\omega)|^2}{\alpha^2|N(\omega)|^2} \quad (-A15)\]
+
+and after integrating, the DQE for iDPC becomes
+
+\[DQE_{iDPC}(\omega) = \frac{|PCTFD_{PCx}(\omega)|^2 + |PCTFD_{PCy}(\omega)|^2}{2\alpha^2|N(\omega)|^2} \quad (-A16)\]
+
+This has a very similar shape to the DPC DQE since the noise is amplified in the same way as the signal.
+
+Similarly, applying equation A10 for tcBF we find the tcBF DQE to be,
+
+\[DQE_{tcBF}(\omega) = \frac{|PCTF_{tcBF}(\omega)|^2}{\alpha^2|N(\omega)|^2} \quad (-A17)\]
+
+For an ideal detector the noise spectrum is only from Poisson noise, which is flat, so the differences in DQE for tcBF and iDPC can understood by comparing the squares of the PCTFs for tcBF and DPC (not iDPC). These are shown in figure 4b. As a consequence, iDPC has a poor DQE at low spatial frequencies compared to tcBF.
+
+## Mean Free Paths and Thickness Estimates
+
+Measurements of the inelastic MFP (scaled to \(300\mathrm{keV}^{49}\) ) range from \(100\mathrm{nm}\) for amorphous carbon to \(275\mathrm{nm}\) for proteins to \(310\mathrm{nm}\) for vitreous ice \(^{50}\) , scaling roughly with the degree of hydrogenation. For our thickness measurements we use the inelastic MFP of ice. The elastic MFP is more strongly dependent on the range of collection angles as the elastic scattering has a much wider angular distribution than inelastic scattering. Thus, what is often reported is n, the ratio of elastic to inelastic scattering for a given measurement geometry, and this is in the range 2- 5, with 3 being a typical value for cryoEM of organic systems \(^{51}\) , suggesting a typical elastic MFP is about 700- 900 nm. We calculated the elastic MFP from a multislice simulation of amorphous ice, for a 50 and \(200\mathrm{nm}\) thick supercell and a 5.5 mrad convergence and collection angle at \(300\mathrm{keV}\) . Averaging over multiple configurations, we fit the decay of the central beam to find the elastic MFP, \(\lambda_{el} = 774 \pm 45\mathrm{nm}\) . The elastic MFP sets a thickness for which the dominant contrast mechanism crosses over from phase contrast to scattering absorption contrast.
+
+<--- Page Split --->
+
+In relating the signal remaining in an energy filtered image, \(I_{EFTEM}(t) = I_{TEM}\exp (- t / \lambda_{in})\) and \(I_{TEM}\) is the corresponding unfiltered image. Even when no objective aperture is used, there is still some high- angle elastic scattering (including backscattering) that does not reach the detector, so not all of the incident beam is collected and \(I_{TEM}(t) = I_{0}\exp (- t / \lambda_{HA})\) . Combining these results, we get
+
+\[I_{EFTEM}(t) = I_{0}\exp (-t / \lambda_{HA})\exp (-t / \lambda_{in}) = I_{0}\exp (-t / \lambda_{in}') \quad (-A18)\]
+
+For our microscope, we measured \(\lambda_{HA} = (46 \pm 1) \lambda_{in}\) , and it is convenient to keep the functional form \(\lambda_{HA} = \alpha \lambda_{in}\) From eqn (A14) we can calculate the high angle correction to the inelastic mean free path as
+
+\[\lambda_{in}' = \lambda_{in} \alpha /(\alpha + 1) \quad (A19).\]
+
+so \(\lambda_{in}' = 0.979 \lambda_{in} = 303 \mathrm{nm}\) for ice.
+
+## Comparative analysis on thick samples
+
+The organelles shown in Fig. 1i- n and Fi. 3e- h were isolated and purified from the HEK293T cells. Cells were mechanically lysed by osmotic shock and needle shearing52. The STEM images were recorded using an EMPAD19 on a TFS Krios G4 with a 7 mrad semi- convergence angle and a 2.8nm scan step size. \(256^{*}256\) scan positions were collected. The corresponding EFTEM images were recorded using a Falcon 4i detector and the Selectris X energy filter with a slit width of \(10 \mathrm{eV}\) on the same TFS Krios G4. Acceleration voltage was \(300 \mathrm{kV}\) and the spherical aberration of the objective lens was \(2.7 \mathrm{mm}\) . tcBF images are reconstructed with the iterative alignment provided in py4DSTEM32 and upsampling is implemented in an in- house Python package based on the method described in the upsampling section.
+
+<--- Page Split --->
+
+The E. coli specimen shown in Fig. 3 were prepared from the GL002 strain and plunge frozen with 200- mesh Quantifoil 2/1 holey carbon copper TEM grids. For Fig. 3i- l, the images were recorded on a customized Thermo Scientific Titan Themis with Gatan 626 cryo- transfer holder at \(300\mathrm{kV}\) . The STEM images were recorded using an EMPAD20 with 2 mrad convergence angle. tcBF images were reconstructed with in- house Python package where the alignment algorithm is based on rigid shift registration between every possible pair53 and upsampling algorithm as described in the section. The EFTEM images were acquired with a K2 Summit direct detector (Gatan) operating in linear mode. For all the EFTEM images, short exposures were collected in the movie mode and cross- correlated with the number of frames chosen to match the dose of the corresponding STEM image.
+
+## Single particle analysis on VLPs
+
+The specimen is a coat protein of bacteriophage PP7 self- assembled during recombinant expression in E. coli. TEM grids used are R1.2/1.3 mesh 300 UltraFoil. STEM images were acquired on the customized Thermo Scientific Titan Themis with a Gatan 626 cryo- transfer holder. Images were recorded with \(300\mathrm{kV}\) acceleration voltage on an EMPAD- G2 detector20, 8 mrad semi- convergence angle, 11 Å scan step size, \(45\mathrm{eV / \AA}^2\) total exposure dose and upsampled to an image pixel size of \(2.77\mathrm{\AA}\) . A typical scan size is \(512*512\) with \(100\mu \mathrm{s}\) dwell time. tcBF images are reconstructed with the iterative alignment provided in py4DSTEM32 and upsampling is implemented in an in- house Python package based on the method described in the upsampling section. The SPA reconstruction is obtained with cryoSPARC44 where CTFFIND42 is used to
+
+<--- Page Split --->
+
+estimate global CTF. Particles are picked with a template generated by manually- picked particles. The final 3D reconstruction has icosahedral symmetry and a dynamic mask imposed. The comparative analysis of the VLPs with EFTEM is performed with a Cs- corrected TFS Krios, shown in Fig. S11. The EFTEM data were acquired at an accelerating voltage of \(300\mathrm{kV}\) , a pixel size of \(1.076\mathrm{\AA}\) and a total dose is \(52.18\mathrm{e}^{- } / \mathrm{\AA}^2\) . The defocus ranges from - \(1\mu \mathrm{m}\) to - \(2\mu \mathrm{m}\) . The final reconstruction is obtained with 900 particles and the analysis is also done with cryoSPARC \(^{42}\) .
+
+## Acknowledgements
+
+This work is supported by NSF (DMR- 1654596, DMR- 1429155, DMR- 1719875, DMR- 2039380), the Packard Foundation, and Chan Zuckerberg Institute for Advanced Biological Imaging. This work made use of the instruments at Chan Zuckerberg Institute for Advanced Biological Imaging, the Cornell Center for Materials Research (CCMR) Shared Facilities and PARADIM. CCMR facilities and X.S.Z. are supported through the NSF MRSEC program (DMR- 1719875). PARADIM and S.E.Z. are supported by the NSF MIP program (DMR- 2039380). We are grateful for all the time that Lena was able to share with us. May her memory be a blessing. The authors thank Dr. Tianhong for inspiring discussions on tcBF upsampling. The authors appreciate Dr. Yasu Xu for providing the E.coli specimens, and Dr. Manuel D. Leonetti’s group for providing the cell lines for the organelle specimens. In addition, the authors want to thank Dr. Earl J. Kirkland for helpful discussions on tilted BF CTFs and Paul Cueva (NSF PHY- 1549132) for help with aberration and tilt measurements in 4D- STEM. The authors acknowledge Dr. Georgios Varnavides, Dr. Stephanie M. Ribet, and Dr. Colin Ophus for helpful discussions on improving algorithms for tcBF. The authors also thank Dr. Bridget Carragher, Dr. Clinton S.
+
+<--- Page Split --->
+
+Potter, and Dr. David Agard for advice on experimental designs for comparing tcBF- STEM to EFTEM, as well as for insights on future steps to improve the technique.
+
+## Author Contributions
+
+Y.Y., K.A.S., D.A.M., and L.F.K. designed the tcBF experiments. Y.Y, K.A.S., and K.X.N. performed the tcBF experiments. Y.Y., K.A.S., M.C., K.X.N, D.A.M. and L.F.K. developed tcBF algorithm and analyzed the tcBF data. S.E.Z. and D.A.M. calculated the tcBF CTFs. R.P. D.S. and H.S. prepared the purified cellular organelle samples. Y.Y., R.P., M. K. and C.D. analyzed the single particle data. X.Z. and Y.Y. performed iDPC experiments. X.Z. analyzed iDPC data. Y.Y., K.A.S., L.F.K., and D.A.M. wrote the manuscript with input from all authors.
+
+## Data Availability
+
+The 4D- STEM data sets for Fig. 11- n and Fig.2a- h are available on Zenodo (DOI: 10.5281/zenodo.10825339), along with the corresponding EFTEM images.
+
+## Code Availability
+
+House built python packages for tcBF- STEM are available on Github at https://github.com/yyu2017/tcBFSTEM.
+
+<--- Page Split --->
+
+
+
+<--- Page Split --->
+
+
+Figure 1. | Direct phase-contrast imaging with 4D STEM: tilt-corrected bright-field (tcBF) -
+
+STEM employs a pixelated STEM detector to collect the entire convergent beam electron diffraction (CBED) pattern (a). Each detector pixel within the bright-field (BF) disk is a coherent BF STEM detector though located off the optical axis. By reciprocity (b), off-axis BF- STEM (top down) is equivalent to tilted- illumination TEM (bottom up). Similar to BF TEM, defocus is applied to introduce phase contrast. For a standard gold- on- carbon sample and a defocused
+
+<--- Page Split --->
+
+probe, integrating the signals collected by two off- axis detector pixels (red and green) in (c) produces two images with relative shifts between them (d). For every detector pixel, the image shifts determined through cross- correlation with the on- axis detector pixel are shown by the arrows overlaid on the averaged CBED pattern in (e) with a zoom- in and binned view in (g). The arrows are color- coded corresponding to the shift directions. Integrating the full forward- scattered bright- field (BF) signals without correcting for the angle- dependent shifts results in blurring (f) due to the defocus. A tcBF- STEM image (h) is generated by summing the images after shift correction. In a tcBF- STEM image, the signal- to- noise ratio (SNR) is increased compared to (d) and the blurring due to defocus (f) is corrected. To compare the performance of tcBF- STEM with energy- filtered TEM (EFTEM) on thick samples, (i) and (l) are the images acquired in the same area in a mitochondrion. The dose measured over vacuum is \(14 \mathrm{e}^{- } / \mathrm{\AA}^{2}\) , and the acceleration voltage is \(300 \mathrm{kV}\) for both acquisitions. More information can be found in table I. The membrane bilayer was similarly resolved in the thin part of the sample for both methods. However, in thicker regions (j) and (m), tcBF still shows the membrane bilayers clearly (indicated by the orange arrowheads), while this feature is less visible with EFTEM. In the even thicker region (k and n), tcBF can still resolve some parts of the inner membranes whereas with EFTEM these features are less discernible. A thickness estimate map, obtained from the fraction of electrons remaining in the energy- filtered image, is given in Fig. S1, with thicknesses ranging
+
+<--- Page Split --->
+
+641 from 470 nm to 620 nm
+
+<--- Page Split --->
+
+Masked detector regions overlaid with shift map and averaged CBED
+
+
+
+
+<--- Page Split --->
+
+
+Figure 2. | Up-sampling by 8 speeds up data acquisition by 64-fold. Up-sampling for tcBF-
+
+STEM of a gold- on- carbon combined test sample is accomplished by exploiting the image shifts from different detector pixels as a result of defocus (and higher order aberrations). (a) The colored arrows show the shift measured for the scanned images synthesized at each detector pixel inside the bright field disk. Scanned images formed by the two white pixels on the detector shown in (a) will be shifted from each other. Correcting for these shifts and accumulating signals collected from the selected detector regions fills in different regions of the scanned image (b) at a spacing finer than the recorded probe positions, demonstrating the first step of a complete up- sampling. A tcBF- STEM image (c) is collected with a defocused probe at an 8- Å scan step size. In the up- sampled tcBF- STEM image (d), additional sub- scan- pixel features are resolved compared to the original image (c). (e) Experimental power spectrum from the full image of the test sample showing Thon rings and the 2.3- Å ring of gold lattice spacing beyond the scan Nyquist frequency (1/16 Å-1, black box) are recovered by up- sampling. An FFT radial average profile (g) shows that up- sampling recovers information beyond the scan Nyquist frequency without altering the signal within the electron- optical information limit. (f) The calculated phase contrast transfer function (PCTF) for a tcBF image after shift correction shows twice the information limit compared to the BF image formed using only the axial detector pixel, as a
+
+<--- Page Split --->
+
+661 result of exploiting off- axis information. The simulation uses 5.5 mrad convergence semi- angle
+
+662 probe- forming aperture (α), 300 kV acceleration voltage and 700 nm defocus.
+
+<--- Page Split --->
+
+
+
+<--- Page Split --->
+
+
+
+<--- Page Split --->
+
+
+
+<--- Page Split --->
+
+Figure 3. | Comparison of EFTEM and tcBF- STEM with different doses, defoci and acquisition orders. The same region of interest in various specimens was imaged successively in order to compare the techniques. For each comparison, the total dose measured over vacuum and the electron acceleration (300 kV) are the same, and the average thickness can be estimated with the EFTEM images using the ratio of I0/I and the inelastic MFP, similar to Fig. S1. The dose efficiency of the two techniques is compared by the ratio of remaining electrons in the images to the incident total electrons. Overall, for the samples demonstrated here, tcBF is observed 3- 3.5x higher collection efficiency than EFTEM at a similar incident dose/unit area. For EFTEM images, slit widths are all 10 eV and defoci are measured with CTFFIND \(4^{42}\) . For tcBF images, defoci are measured with the image shifts. (a) and (b) are EFTEM and tcBF images of an intact \(E.coli\) cell. With tcBF (d), features in the interior region of the cell are effectively resolved, whereas in EFTEM (c), although the same features are discernible, they are less visible. In (e) and (f), images with EFTEM and tcBF of a vesicle at similar measured defoci are shown. Again, in the thick region tcBF reveals clearer features compared to EFTEM. For another comparison on \(E.coli\) at a low dose of \(0.5\mathrm{e}^{- } / \mathrm{\AA}^{2}\) (i- l), tcBF is able to resolve features that are otherwise indiscernible with EFTEM. Thickness and other experimental details in Table I.
+
+<--- Page Split --->
+
+
+ | Specimen | Acquired first | Dose (e/Å2) | Pixel size (Å) | Defocus (nm) | Average thickness estimate* (nm) | Fraction of incident electrons in the image |
| EFTEM | tcBF | EFTEM | tcBF | EFTEM | tcBF |
| Fig.1i-n | mitochondrion | STEM | 14 | 2.37 | 3.59 (up-sample 8) | 3978.4 | 1943.6 | 547 | 0.171 | 0.533 |
| Fig.3a-d | E.coli | EFTEM | 14 | 2.37 | 3.59 (up-sample 8) | 3743.8 | 4262.9 | 673 | 0.114 | 0.403 |
| Fig.3e-h | vesicle | EFTEM | 14 | 2.37 | 3.59 (up-sample 8) | 2849.2 | 2825.0 | 586 | 0.151 | 0.522 |
| Fig.3i-l | E.coli | STEM | 0.5 | 12.96 (bin by 4) | 10.8 (up-sample 4) | 4000 (nominal**) | 4000 (nominal) | -- | -- | -- |
+
+All data were acquired with \(300\mathrm{kV}\) acceleration voltage at cryogenic temperature \\* Average thickness is estimated with inelastic scattering MFP using the ratio of electrons in the 10-eV EFTEM image and the incident electrons over vacuum. \\*\\* Nominal defocus is the calibrated instrument defocus after focusing using a nearby area
+
+Table I. Summary for the information on specimen, doses, pixel sizes, measured or nominal
+
+defocus, thickness estimate using the inelastic MFP, and a comparison of the dose efficiency of
+
+EFTEM and tcBF.
+
+<--- Page Split --->
+
+
+
+
+
+
+
+<--- Page Split --->
+
+Figure 4. (a) Collection efficiency of EFTEM (no objective aperture) and tcBF (7 mrad aperture), showing the measured fraction of electrons left in the image compared to the incident beam as a function of sample thickness from the data sets in table 1. tcBF is seen to retain over 3- 4x more signal than EFTEM. The sample thickness is determined from the EFTEM fraction, assuming an inelastic MFP of 310 nm. From this, the decay of the unfiltered tcBF images gives an elastic MFP of \(830\pm 50 \mathrm{nm}\) . (b) Comparison of the contrast transfer functions for tcBF, axial BF, and in- focus DPC for a 5.5 mrad probe- forming aperture, \(\alpha\) . The axial BF CTF cuts off at \(\alpha\) , while the DPC and tcBF information limits extend to \(2\alpha\) . The damping envelope for tcBF follows the classic double- overlap form expected from summing over the tilted CTF functions in supplementary figures S6 and S7. The DPC signal peaks close to \(\alpha\) and is suppressed at low frequencies compared to the defocus- optimized tcBF but is more efficient from \(\alpha\) to \(2\alpha\) . The iDPC CTF has the same shape as the damping envelope but does not reflect the true information transfer. The iDPC CTF is obtained by dividing the measured DPC signal by spatial frequency, which also amplifies noise by the same proportion, resulting in a vanishingly small signal/noise ratio at low spatial frequencies (see online methods for analytic derivations). (c) The result is the DQE for iDPC is the same as that for DPC and both have poor efficiency at transferring low frequencies. Defocused tcBF is very efficient at transferring low frequencies.
+
+<--- Page Split --->
+
+
+TcBF-STEM micrograph
+
+
+
+cryo-EM density map
+
+
+
+d. Fourier Shell Correlation (FSC)
+
+Figure 5. | Single particle analysis 3D reconstruction from tcBF-STEM imaging of hydrated vitrified coat protein of bacteriophage PP7. A representative up-sampled tcBF-STEM image at 300 kV with 11 Šscan step size and a total dose of 45 e-/Ų is shown in (a) with a 2D class average in the inset. The 3D density map resolved from 789 particles is shown in (b) with a zoom-in view of the PDB 1DWN model fit inside the density map in (c). \(\sim 7\) Šnominal resolution is reached based on the Fourier Shell Correlation (FSC) with 0.143 cutoff.
+
+<--- Page Split --->
+
+
+Fig. S1| A contour plot of the thickness estimate for the sample shown in Fig.1i-n. The thickness is estimated with the inelastic MFP using Beer's law. Using the EFTEM dataset, we obtain a ratio of I0/I, where I0 is the intensity recorded over vacuum, and I is the energy filtered intensity with a 10-eV slit recorded over the sample. The thickness is estimated In(I0/I)\*inelastic MFP. The inelastic MFP used here is 310 nm for vitrified ice at 300 kV41.
+
+<--- Page Split --->
+
+
+Fig. S2| To facilitate sub-scan-pixel image shifting, each real-space image formed by a single
+
+detector pixel is first padded with zero- intensity pixels. In (a), there is a bright field image formed using a single detector pixel for a standard gold- on- carbon sample under the previously described imaging condition in Fig.2. Each pixel (b) in the image (a) becomes an 8x8 pixel block (c) after padding. The padding process only involves inserting zero values between the original pixels without altering their values.
+
+<--- Page Split --->
+![PLACEHOLDER_46_0]
+
+Fig. S3| Normalization of uneven distributions of sub-pixel shifts: the same up-sampled image shown in Fig. 2d with the periodic intensity variations amplified in the blue-boxed area (b) for better visibility. By tracking the sub-pixel shift distribution (d) and applying an intensity normalization based on this distribution, the periodic artifacts can be corrected (c).
+
+<--- Page Split --->
+![PLACEHOLDER_47_0]
+
+Fig. S4| Higher-order interpolation padding: line profiles (left) illustrate in 1D the results of padding with zero-intensity pixels and progressing to quintic interpolation values. The corresponding FFTs of the up-sampled images are shown on the right.
+
+<--- Page Split --->
+![PLACEHOLDER_48_0]
+
+Fig. S5| The aperture-free, complex PCTF for \(300\mathrm{kV}\) electrons and \(700\mathrm{nm}\) defocus in a Zemlin tilt-tableau out to \(5.5\mathrm{mrad}\) of tilt. The x-y coordinates within each frame are spatial frequencies of the image, \(\omega\) , and the tilt offset of each frame is \(\pmb \theta\) . With no objective (condenser) aperture and no higher order aberrations, the power spectrum of each image under tilted illumination is identical.
+
+<--- Page Split --->
+![PLACEHOLDER_49_0]
+
+Fig. S6| The symmetric and antisymmetric components of the PCTF for 300 kV electrons with a 5.5 mrad objective (condenser for STEM) in a Zemlin tilt-tableau out to 5.5 mrad of tilt .
+
+(a) \(\Re e(PCTF)\) at 700 nm defocus showing the symmetric, Friedel term, (b) \(\Im m(PCTF)\) at 700 nm defocus showing the anti-symmetric, anti-Friedel term. The phase ramp across each individual PCTF reflects a shift in real space of the imaged object. Shifting the individual images corrects for the tilt-induced phase ramp, and subsequently summing the tilt-corrected images gives the PCTF shown in Figure 2f. (c) \(\Im m(PCTF)\) at zero defocus, again showing its antisymmetric nature. The DPC-x image is formed by subtracting the left tilts from the right.
+
+<--- Page Split --->
+![PLACEHOLDER_50_0]
+
+Fig. S7| The power spectrum for \(300\mathrm{kV}\) electrons and \(700\mathrm{nm}\) defocus with a \(5.5\mathrm{mrad}\) objective (condenser) in a Zemlin tilt-tableau out to \(5.5\mathrm{mrad}\) of tilt. This highlights the strong modulations in the overlap region, and the weaker transfer in the sidelobes, but with an information limit of twice the aperture radius.
+
+<--- Page Split --->
+![PLACEHOLDER_51_0]
+
+
+Fig.S8| Dose Tolerance for tcBF- STEM images collected sequentially with increasing dose: (a) \(1.3 \mathrm{e} / \mathrm{A}^{2}\) , (b) \(15.2 \mathrm{e} / \mathrm{A}^{2}\) , (c) \(57.6 \mathrm{e} / \mathrm{A}^{2}\) , (d) \(210.5 \mathrm{e} / \mathrm{A}^{2}\) . Large- length- scale features in the specimen appear tolerant to a high cumulative dose, with no bubbling appearing even in the final exposure where the cumulative dose is \(286 \mathrm{e} / \mathrm{A}^{2}\) .
+
+<--- Page Split --->
+![PLACEHOLDER_52_0]
+
+Fig. S9| To overcome the low-SNR challenge for imaging frozen-hydrated apoferritin, 4-by-4
+
+detector pixels are combined for successful cross- correlation (a). Fitting the shifts to the aberration function and applying the results to the original detector pixels help restore the information from individual detector pixels and improve image shift accuracy (b). The maps in the insets (i) present the shifts of images formed by each detector pixel, with the intensities indicating the magnitudes and the colors corresponding to the directions. The Fourier Ring Correlating (FRC) in the inset (ii) confirms the resolution enhancement by leveraging aberration, improving the cut- off resolution from 38.5 Å to 6.9 Å. For the thicker E.coli sample, the tcBF image with image shifts resolved on binned detector pixels (c) reveals the bilayer cell membrane and details in the interior of the cell. Leveraging aberration fitting results (d) pushes the resolution from 28.1 Å to 11.6 Å (inset (ii)). The 1/7 correlation threshold and the Nyquist
+
+<--- Page Split --->
+
+sampling limit are labelled in the FRC plot. The images in (a) to (d) are cropped to show and the FRCs are computed with the full field of view. To calculate the FRC for tcBF- STEM, we generate two tcBF- STEM images from a single dataset by choosing alternating pixels within the BF disks and then reconstructing each subset independently. The normalized cross- correlation coefficient between the two resulting images represents the FRC of the dataset.
+
+<--- Page Split --->
+![PLACEHOLDER_54_0]
+
+Fig S10| EFTEM of VLP PP7 SPA with 900 particles reaches a nominal resolution of \(3.36\mathrm{\AA}\) . The EFTEM data is acquired on a Cs-corrected TFS Krios at an accelerating voltage of \(300\mathrm{kV}\) . The image pixel size is \(1.076\mathrm{\AA}\) and the total dose is \(52.18\mathrm{e}^{-} / \mathrm{\AA}^2\) . The defocus ranges from -1μm to -2μm. The final reconstruction is obtained with 900 particles and the analysis is done with cryoSPARC44.
+
+<--- Page Split --->
+![PLACEHOLDER_55_0]
+
+
+Fig S11| Cryo- iDPC on VLP PP7: the iDPC data was acquired using the TFS Panther detector on a TFS Spectra at 300 kV. Utilizing an in- house MATLAB code, iDPC images were generated (left), incorporating a high- pass filter (right) to eliminate low- frequency noise51.
+
+<--- Page Split --->
+
+## Reference:
+
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+21. Ercius, P. et al. The 4D Camera: an 87 kHz direct electron detector for scanning/transmission electron microscopy. Preprint at https://doi.org/10.48550/arXiv.2305.11961 (2023).
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+27. Nguyen, K. X. et al. 4D-STEM for Quantitative Imaging of Magnetic Materials with Enhanced Contrast and Resolution. Microsc. Microanal. 22, 1718–1719 (2016).
+28. Spoth, K. A., Nguyen, K. X., Muller, D. A. & Kourkoutis, L. F. Dose-Efficient Cryo-STEM Imaging of Whole Cells Using the Electron Microscope Pixel Array Detector. Microsc. Microanal. 23, 804–805 (2017).
+29. Spoth, K. et al. Dose-Efficient Cryo-STEM Imaging of Vitrified Biological Samples. Microsc. Microanal. 26, 1482–1483 (2020).
+
+<--- Page Split --->
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+30. Yu, Y., Spoth, K., Muller, D. & Kourkoutis, L. Cryogenic TcBF-STEM Imaging of Vitrified Apoferrin with the Electron Microscope Pixel Array Detector. Microsc. Microanal. 26, 1736–1738 (2020).
+
+31. Yu, Y., Colletta, M., Spoth, K. A., Muller, D. A. & Kourkoutis, L. F. Dose-efficient tcBF-STEM with Information Retrieval Beyond the Scan Sampling Rate for Imaging Frozen-Hydrated Biological Specimens. Microsc. Microanal. 28, 1192–1194 (2022).
+
+32. Varnavides, G. et al. Iterative Phase Retrieval Algorithms for Scanning Transmission Electron Microscopy. Preprint at https://doi.org/10.48550/arXiv.2309.05250 (2023).
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+33. Chen, Z. et al. Mixed-state electron ptychography enables sub-angstrom resolution imaging with picometer precision at low dose. Nat. Commun. 11, 2994 (2020).
+
+34. Cowley, J. M. Image Contrast in a Transmission Scanning Electron Microscope. Appl. Phys. Lett. 15, 58–59 (1969).
+
+35. Koster, A. J. & de Jong, A. F. Measurement of the spherical aberration coefficient of transmission electron microscopes by beam-tilt-induced image displacements.
+
+36. Krivanek, O. L. & Fan, G. Y. Application of Slow-Scan Charge-Coupled Device (CCD) Cameras to On-Line Microscope Control.
+
+37. Rose, H. Nonstandard imaging methods in electron microscopy. Ultramicroscopy 2, 251–267 (1977).
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+38. Lupini, A. r., Chi, M. & Jesse, S. Rapid aberration measurement with pixelated detectors. J. Microsc. 263, 43–50 (2016).
+
+39. Kirkland, E. J. Advanced Computing in Electron Microscopy. (Plenum, NY, 1998).
+
+<--- Page Split --->
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+40. Cundy, S. L., Howie, A. & Valdrè, U. Preservation of electron microscope image contrast after inelastic scattering. Philos. Mag. J. Theor. Exp. Appl. Phys. 20, 147–163 (1969).
+
+41. Leapman, R. D. & Sun, S. Cryo-electron energy loss spectroscopy: observations on vitrified hydrated specimens and radiation damage. Ultramicroscopy 59, 71–79 (1995).
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+42. Rohou, A. & Grigorieff, N. CTFFIND4: Fast and accurate defocus estimation from electron micrographs. J. Struct. Biol. 192, 216–221 (2015).
+
+43. Lazic, I., Bosch, E. G. T. & Lazar, S. Phase contrast STEM for thin samples: Integrated differential phase contrast. Ultramicroscopy 160, 265–280 (2015).
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+44. Punjani, A., Rubinstein, J. L., Fleet, D. J. & Brubaker, M. A. cryoSPARC: algorithms for rapid unsupervised cryo-EM structure determination. Nat. Methods 14, 290–296 (2017).
+
+45. Tars, K., Fridborg, K., Bundule, M. & Liljas, L. Structure determination of bacteriophage PP7 from Pseudomonas aeruginosa: from poor data to a good map. Acta Crystallogr. D Biol. Crystallogr. 56, 398–405 (2000).
+
+46. Rodenburg, J. M., Mc Callum, B. C. & Nellist, P. D. Experimental via STEM tests on double resolution coherent imaging. Ultramicroscopy 48, 304–314 (1993).
+
+47. Brilot, A. F. et al. Beam-induced motion of vitrified specimen on holey carbon film. J. Struct. Biol. 177, 630–637 (2012).
+
+48. Zheng, S. Q. et al. MotionCor2: anisotropic correction of beam-induced motion for improved cryo-electron microscopy. Nat. Methods 14, 331–332 (2017).
+
+49. Malis, T., Cheng, S. C. & Egerton, R. F. EELS log-ratio technique for specimen-thickness measurement in the TEM. J. Electron Microsc. Tech. 8, 193–200 (1988).
+
+50. Sun, S., Shi, S. & Leapman, R. Water distributions of hydrated biological specimens by valence electron energy loss spectroscopy. Ultramicroscopy 50, 127–139 (1993).
+
+<--- Page Split --->
+
+912 51. Egerton, R. F. Measurement of inelastic/elastic scattering ratio for fast electrons and its use in the study of radiation damage. Phys. Status Solidi A 37, 663–668 (1976).912 52. Hein, M. Y. et al. Global organelle profiling reveals subcellular localization and remodeling at proteome scale. 2023.12.18.572249 Preprint at https://doi.org/10.1101/2023.12.18.572249 (2023).912 53. Savitzky, B. H. et al. Image registration of low signal-to-noise cryo-STEM data. Ultramicroscopy 191, 56–65 (2018).
+
+<--- Page Split --->
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@@ -0,0 +1,853 @@
+<|ref|>title<|/ref|><|det|>[[44, 106, 911, 243]]<|/det|>
+# Dose-Efficient Cryo-Electron Microscopy for Thick Samples using Tilt-Corrected Scanning Transmission Electron Microscopy, Demonstrated on Cells and Single Particles
+
+<|ref|>text<|/ref|><|det|>[[44, 263, 108, 281]]<|/det|>
+Yue Yu
+
+<|ref|>text<|/ref|><|det|>[[53, 291, 223, 309]]<|/det|>
+yue.yu@czii.org
+
+<|ref|>text<|/ref|><|det|>[[44, 336, 930, 357]]<|/det|>
+Chan Zuckerberg Institute for Advanced Biological Imaging https://orcid.org/0000- 0002- 3248- 9678
+
+<|ref|>text<|/ref|><|det|>[[44, 361, 186, 379]]<|/det|>
+Katherine Spoth
+
+<|ref|>text<|/ref|><|det|>[[50, 383, 844, 402]]<|/det|>
+Hauptman- Woodward Medical Research Institute https://orcid.org/0000- 0003- 1168- 5829
+
+<|ref|>text<|/ref|><|det|>[[44, 407, 186, 425]]<|/det|>
+Michael Colletta
+
+<|ref|>text<|/ref|><|det|>[[53, 430, 589, 449]]<|/det|>
+School of Applied and Engineering Physics, Cornell University
+
+<|ref|>text<|/ref|><|det|>[[44, 454, 165, 472]]<|/det|>
+Kayla Nguyen
+
+<|ref|>text<|/ref|><|det|>[[53, 476, 443, 495]]<|/det|>
+Department of Physics, University of Oregon
+
+<|ref|>text<|/ref|><|det|>[[44, 500, 193, 518]]<|/det|>
+Steven Zeltmann
+
+<|ref|>text<|/ref|><|det|>[[53, 522, 701, 542]]<|/det|>
+PARADIM, Materials Science & Engineering Department, Cornell University,
+
+<|ref|>text<|/ref|><|det|>[[44, 547, 155, 565]]<|/det|>
+Xiyue Zhang
+
+<|ref|>text<|/ref|><|det|>[[53, 569, 589, 588]]<|/det|>
+School of Applied and Engineering Physics, Cornell University
+
+<|ref|>text<|/ref|><|det|>[[44, 593, 255, 611]]<|/det|>
+Mohammadreza Paraan
+
+<|ref|>text<|/ref|><|det|>[[53, 615, 570, 634]]<|/det|>
+Chan Zuckerberg Institute for Advanced Biological Imaging
+
+<|ref|>text<|/ref|><|det|>[[44, 639, 186, 657]]<|/det|>
+Mykailo Kopylov
+
+<|ref|>text<|/ref|><|det|>[[44, 661, 950, 703]]<|/det|>
+The National Resource for Automated Molecular Microscopy, Simons Electron Microscopy Center, New York Structural Biology Center, New York, NY
+
+<|ref|>text<|/ref|><|det|>[[44, 708, 212, 726]]<|/det|>
+Charlie Dubbeldam
+
+<|ref|>text<|/ref|><|det|>[[53, 730, 362, 748]]<|/det|>
+New York Structural Biology Center
+
+<|ref|>text<|/ref|><|det|>[[44, 754, 171, 772]]<|/det|>
+Daniel Serwas
+
+<|ref|>text<|/ref|><|det|>[[53, 776, 570, 795]]<|/det|>
+Chan Zuckerberg Institute for Advanced Biological Imaging
+
+<|ref|>text<|/ref|><|det|>[[44, 800, 172, 818]]<|/det|>
+Hannah Siems
+
+<|ref|>text<|/ref|><|det|>[[53, 822, 570, 841]]<|/det|>
+Chan Zuckerberg Institute for Advanced Biological Imaging
+
+<|ref|>text<|/ref|><|det|>[[44, 846, 154, 864]]<|/det|>
+David Muller
+
+<|ref|>text<|/ref|><|det|>[[53, 868, 949, 888]]<|/det|>
+School of Applied and Engineering Physics, Cornell University https://orcid.org/0000- 0003- 4129- 0473
+
+<|ref|>text<|/ref|><|det|>[[44, 893, 188, 911]]<|/det|>
+Lena Kourkoutis
+
+<|ref|>text<|/ref|><|det|>[[53, 914, 589, 934]]<|/det|>
+School of Applied and Engineering Physics, Cornell University
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[44, 46, 103, 63]]<|/det|>
+## Article
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 84, 135, 101]]<|/det|>
+## Keywords:
+
+<|ref|>text<|/ref|><|det|>[[44, 121, 321, 140]]<|/det|>
+Posted Date: August 29th, 2024
+
+<|ref|>text<|/ref|><|det|>[[44, 159, 475, 179]]<|/det|>
+DOI: https://doi.org/10.21203/rs.3.rs- 4917330/v1
+
+<|ref|>text<|/ref|><|det|>[[42, 197, 916, 240]]<|/det|>
+License: © This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+<|ref|>text<|/ref|><|det|>[[42, 258, 535, 277]]<|/det|>
+Additional Declarations: There is NO Competing Interest.
+
+<|ref|>text<|/ref|><|det|>[[42, 312, 950, 355]]<|/det|>
+Version of Record: A version of this preprint was published at Nature Methods on September 23rd, 2025. See the published version at https://doi.org/10.1038/s41592-025-02834-9.
+
+<--- Page Split --->
+<|ref|>title<|/ref|><|det|>[[77, 88, 880, 110]]<|/det|>
+# Dose-Efficient Cryo-Electron Microscopy for Thick Samples using Tilt-Corrected Scanning
+
+<|ref|>title<|/ref|><|det|>[[75, 123, 780, 145]]<|/det|>
+# Transmission Electron Microscopy, Demonstrated on Cells and Single Particles
+
+<|ref|>text<|/ref|><|det|>[[75, 155, 880, 576]]<|/det|>
+Yue Yu \(^{1,2*}\) , Katherine A. Spoth \(^{1,3*}\) , Michael Colletta \(^{1}\) , Kayla X. Nguyen \(^{1,4*}\) , Steven E. Zeltmann \(^{1,5}\) , Xiyue S. Zhang \(^{1}\) , Mohammadreza Paraan \(^{2}\) , Mykhailo Kopylov \(^{6}\) , Charlie Dubbeldam \(^{6}\) , Daniel Serwas \(^{2}\) , Hannah Siems \(^{2}\) , David A. Muller \(^{1,7*}\) , Lena F. Kourkoutis \(^{1,7}\) \(^{1}\) School of Applied and Engineering Physics, Cornell University, Ithaca, NY, 14853, USA \(^{2}\) Chan Zuckerberg Institute for Advanced Biological Imaging, Redwood City, CA, 94063, USA \(^{3}\) Hauptman- Woodward Medical Research Institute, 700 Ellicott Street, Buffalo, NY, 14203, USA \(^{4}\) Department of Physics, University of Oregon, Eugene, OR 97403, USA \(^{5}\) PARADIM, Materials Science & Engineering Department, Cornell University, Ithaca, NY, 14853, USA \(^{6}\) New York Structural Biology Center, New York, NY 10027, USA \(^{7}\) Kavli Institute at Cornell for Nanoscale Science, Cornell University, Ithaca, NY14853, USA \(^{\dagger}\) Corresponding authors: yue.yu@czii.org, david.a.muller@cornell.edu
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 578, 197, 595]]<|/det|>
+## Abstract:
+
+<|ref|>text<|/ref|><|det|>[[111, 608, 880, 876]]<|/det|>
+Cryo- EM is a powerful tool in structural biology, providing insights through techniques like single- particle analysis (SPA) and cryogenic electron tomography (cryo- ET). In thick specimens, challenges arise as an exponentially larger fraction of the transmitted electrons lose energy from inelastic scattering and can no longer be properly focused as a result of chromatic aberrations in the post- specimen optics. Rather than filtering out the inelastic scattering at the price of reducing potential signal, as is done in energy- filtered transmission electron microscopy (EFTEM), we show how a dose- efficient and unfiltered image can be rapidly obtained using tilt- corrected bright- field scanning- TEM (tcBF- STEM) data collected on a pixelated detector. Enhanced
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 872, 283]]<|/det|>
+contrast and a 3- 5x improvement in collection efficiency are observed for 2D images of intact bacterial cells and large organelles using tcBF- STEM compared to EFTEM for thicknesses beyond \(500~\mathrm{nm}\) . As a proof of concept for the technique's performance in structural determination, we present an SPA map at subnanometer resolution for a highly symmetric virus- like particle (VLP) with 789 particles. These findings suggest applications for tcBF- STEM in cryo- EM of thicker cellular volumes where current approaches struggle.
+
+<|ref|>sub_title<|/ref|><|det|>[[113, 335, 167, 352]]<|/det|>
+## Main:
+
+<|ref|>text<|/ref|><|det|>[[110, 365, 870, 880]]<|/det|>
+Cryogenic electron microscopy (cryo- EM) provides powerful insights into the study of biological systems by revealing molecular structures in their close- to- native environments1-3. Single particle analysis (SPA) has enabled structural determination of purified macromolecular complexes up to atomic resolution4,5. Cryogenic electron tomography (cryo- ET) with subtomogram averaging (STA) has been developed to resolve macromolecular structures in biological contexts including within slices of whole cells6,7. Compared to SPA, fewer structures have been resolved at high resolution by cryo- ET with STA with one of the main limitations being the increased specimen thickness for cellular structures compared to the preparations for the purified molecules. This increased sample thickness leads to an exponential decrease in the elastically- scattered signal, especially at high sample tilts8 or lower beam voltages9. In the conventional transmission electron microscopy (TEM) geometry, the imaging optics are placed after the sample, and chromatic blur in the post- specimen optics leads to a strong defocusing of the inelastically scattered electrons. Energy- filtered TEM (EFTEM) removes this blur caused by inelastic scattering but in doing so reduces the collected signal and dose- efficiency compared to an ideal microscope10,11. Chromatic aberration correction could in principle correct some of this
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 877, 144]]<|/det|>
+inelastic blur over a limited energy range and it is an ongoing topic of active research to improve the energy range, stability and resolution12,13.
+
+<|ref|>text<|/ref|><|det|>[[111, 158, 875, 458]]<|/det|>
+It has also long been recognized that in the scanning transmission electron microscopy (STEM) geometry, where the electron beam is focused to a small spot and then rastered across the specimen, that post- specimen chromatic aberrations should not compromise the probe size. This is because in STEM the probe- forming optics are placed before the sample, and before any inelastic scattering can occur, thus STEM imaging should be less susceptible to specimen- induced chromatic blurring (instead the chromatic blur in the post- specimen optics degrades the angular coherence of the diffraction pattern). Consequently, the possibility of studying \(\mu \mathrm{m}\) - thick biological samples with STEM tomography has been explored both experimentally and theoretically, utilizing coherent, incoherent signals and a combination of both14- 18.
+
+<|ref|>text<|/ref|><|det|>[[111, 470, 880, 876]]<|/det|>
+Recent advances in the design of STEM detectors19- 22 have enabled rapid 4D- STEM data acquisition, where almost all of the scattered electrons are collected as 2D images of convergent beam electron diffraction (CBED) patterns, and recorded over a 2D grid of probe positions, as sketched in Fig.1a. 4D- STEM has simplified the implementation of other STEM phase imaging techniques such as (integrated) differential phase contrast (iDPC- )STEM23 and electron ptychography24- 26. Efforts have been made to optimize these techniques for applications in structural biology studies. iDPC- STEM has generated the first SPA map of macromolecules embedded in vitrified ice by a STEM technique at near- atomic resolution23. Initial attempts at low- dose ptychography have been performed on purified virus- like- particles (VLPs) at nanometer resolution with a limited number of particles24,25. More recent demonstrations have shown that SPA of thin sections with ptychography can resolve protein structures at a sub- nanometer level26, including a 5.8A SPA map of apoferritin reconstructed from \(\sim 11,000\) particles.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 870, 214]]<|/det|>
+This performance is still worse than EFTEM and TEM when beam- induced motion is corrected, and suggests the resolution limit is not the instrument optics, but likely related to uncorrected sample motion under the beam. To date, both the iDPC and ptychography studies have focused on relatively thin samples that were optimized for SPA applications.
+
+<|ref|>text<|/ref|><|det|>[[111, 228, 872, 702]]<|/det|>
+Here we describe how, in STEM geometry, a new dose- efficient phase- contrast imaging technique—tilt- corrected bright- field (tcBF- ) STEM—could prove useful for imaging thick samples, while still providing comparable spatial resolution for thin samples. With this technique, we were able to resolve features in thick samples (roughly 500- 800 nm thick) that were not visually discernible with EFTEM under comparable conditions in intact bacterial cells and large organelles. Additionally, with single particle approach, we present a \(\sim 7\) Å nominal resolution 3D map for a highly symmetric virus- like particle (VLP) from 789 particles as proof of feasibility for structural determination with tcBF- STEM. Our earlier work on tcBF can be found in a series of short conference abstracts27- 31 but a detailed writeup of the method had been delayed by the illness and untimely passing of our colleague Lena Kourkoutis, and here we provide a more in- depth description. This technique is computationally much faster than iterative ptychography, so could be used for live monitoring while collecting 4D- STEM data. We note this technique is starting to find applications in the development of low- dose ptychography for cryo- EM applications and materials science studies26,32.
+
+<|ref|>text<|/ref|><|det|>[[111, 716, 870, 876]]<|/det|>
+The starting point for tcBF- STEM is the collection of a 4D- STEM data set (Fig.1a), similar to what might be recorded for an out- of- focus ptychographic reconstruction33. For tcBF- STEM, each pixel within the bright- field (BF) disk functions as a coherent BF detector subtending a sufficiently small collection angle. From the theorem of reciprocity34, the STEM image produced from the detector pixel on the optical axis is equivalent to a conventional BF
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 85, 881, 777]]<|/det|>
+TEM image, and those STEM images produced by off- axis detector pixels are equivalent to BF TEM images formed with tilted illumination (Fig. 1b). These equivalent beam tilts give rise to image shifts that depend on the aberration function \(^{35,36}\) , and are particularly simple when the dominant aberration is defocus. (There are some important differences for inelastic scattering \(^{37}\) that we discuss below and more details are given in the online methods section, where we follow the image analysis framework laid out by Rose \(^{37}\) .) Such an image shift is demonstrated with two images obtained with two off- axis detector pixels (Fig. 1c- d). The shifts are measured and corrected on a (detector) pixel- by- pixel basis. Fig. 1e and 1g illustrate the resolved shift map overlaid on the averaged CBED pattern. Each individual image, after shift correcting, is then combined to create the final tcBF- STEM image (Fig. 1h). Compared to the BF images formed by single detector pixel (Fig. 1d), the tcBF- STEM image has a significantly improved SNR because almost all the signal- relevant signals are utilized. Furthermore, compared to the image formed by directly integrating over the full BF disk (Fig. 1f), tcBF preserves phase contrast. When reconstructing a tcBF- STEM image, a simultaneous measurement of the probe aberration function can be obtained. In fact, one of the early applications of a shift analysis of 4D- STEM datasets was for aberration measurement \(^{38}\) , by analogy with the TEM beam tilt methods \(^{35}\) . In tcBF- STEM, like in conventional BF- TEM, defocus is deliberately introduced to enhance contrast. Consequently, in Fig.1 e and g, the magnitudes are linearly proportional to the defocus and the off- axis angles, and are oriented outwards. The linearity of the shift with angle also makes it possible to measure the depth of objects by the resulting parallax effect \(^{22}\) .
+
+<|ref|>text<|/ref|><|det|>[[111, 786, 874, 876]]<|/det|>
+We are now also in a position to understand the challenges for dose- efficient STEM with a single- pixel detector, and why tcBF- STEM overcomes that. By reciprocity, the conventional TEM geometry would be reproduced in STEM with a single small- pixel detector on the optic
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 87, 881, 844]]<|/det|>
+axis. The smaller the angular range of the detector, the more coherent the signal – in TEM mode, this would be equivalent to the illumination angle. But in STEM mode, such a small detector collects only a tiny fraction of the incident beam – a 0.1 mrad wide collector, and a 10 mrad probe convergence angle would have a collection efficiency of 1 part in 10,000, whereas a TEM with a 0.1 mrad illumination convergence, and a 10 mrad post-specimen objective aperture would have almost perfect collection efficiency. To improve the collection efficiency in STEM, we could increase the collection angle of the detector but this will eliminate the phase contrast signal (a much weaker amplitude contrast in an incoherent image will still be present – e.g. chapter 3 of reference 39). This is because the phase-contrast signal is only measurable when there is a phase shift on the lens, but the phase shift from aberrations generates an image shift that is different for each angle. In other words, simply summing over a wide range of angles leads to a blurred image. If the dominant aberrations are defocus and coma, the images recorded on the off-axis detector pixels have similar contrast transfer functions to the on-axis pixel39 (except towards the edge of the aperture – full treatment in online methods), so the tilt-correct summation of tcBF corrects for these shifts, allowing a coherent image to be retained, and uses almost all of the incident beam - i.e. a similar dose efficiency to TEM. The presence of the aperture complicates the analysis compared to aperture-free TEM, but the end result for tcBF is a similar-looking contrast transfer function (CTF) that has an information limit at double the aperture size (see results and online methods). This is the same information limit cutoff for iDPC and bright-field ptychography, although the shapes of the CTF are very different. As we will discuss in the results section, iDPC is less efficient than tcBF at transferring low-frequency information, although it is simpler to interpret.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 881, 420]]<|/det|>
+Moreover, tcBF- STEM has an advantage over EFTEM for thick samples. The post- specimen lenses for EFTEM are the image formation lenses so chromatic aberrations in the post- specimen lenses degrade the image resolution. However, for tcBF- STEM, the post- specimen lenses simply transfer an image of the diffraction pattern so chromatic aberrations result in a small loss of angular resolution - i.e. a small increase in the effective detector pixel size and hence a reduction in coherence. In a thick sample, most electrons undergo both elastic and inelastic scattering, but the elastic contrast is preserved when scattered to the inelastic channels \(^{37,40}\) . This is largely because the most- likely inelastic scattering events are very delocalized compared to the elastic scattering, leading to weak and low- frequency modulations of the real space signal, and only a small ( \(\sim 0.03 - 0.1\) mrad) blurring of the angular distributions.
+
+<|ref|>text<|/ref|><|det|>[[111, 435, 884, 880]]<|/det|>
+For a qualitative comparison of EFTEM and tcBF- STEM in thick specimens, we imaged the same area in a mitochondrion in succession with the two techniques (Fig.1i- n) using the same incident dose of \(14 \mathrm{e}^{- } / \mathrm{\AA}^{2}\) , and the same acceleration voltage of \(300 \mathrm{kV}\) . In the thinnest part of the sample at the organelle's edge, the membrane bilayers are similarly resolved with both methods. However, in thicker regions (Fig.1 j and m), tcBF- STEM clearly shows the bilayers (orange arrow) of the mitochondrial inner membranes whereas with EFTEM these features are less visible. In the thickest portion of the image, tcBF can still resolve some parts of the inner membranes (Fig.1 k) whereas in the EFTEM image (Fig.1 n) these features are hardly discernible. Using the unfiltered and 10- eV EFTEM images and the inelastic mean free path (MFP) for vitrified ice of \(\sim 310 \mathrm{nm}^{41}\) at \(300 \mathrm{kV}\) , the sample's thickness can be estimated (see online methods). At the mitochondrion's edge, the sample thickness is approximately 500 to 520 nm thick, while the regions shown in Fig. 1j- m is about 570 to 600 nm, and Fig. 1k- n corresponds to around 600 to 620 nm (thickness map in Fig S1). In the thickest parts (k- n), the
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 870, 249]]<|/det|>
+EFTEM signal has dropped to \(\sim 14\%\) of the incident dose, but the tcBF still retains \(50\%\) of the incident dose, i.e. almost \(3.6x\) more signal remaining for tcBF. Similar trends are also observed in multiple samples shown later in Fig.3, where the differences in collection efficiencies are compared quantitatively, with the relative efficiency of tcBF- STEM over EFTEM growing exponentially as the sample thickness increases.
+
+<|ref|>sub_title<|/ref|><|det|>[[113, 300, 180, 317]]<|/det|>
+## Results
+
+<|ref|>sub_title<|/ref|><|det|>[[111, 333, 794, 354]]<|/det|>
+## Fast Data Acquisition with tcBF-STEM Upsampling and the CTF of tcBF-STEM
+
+<|ref|>text<|/ref|><|det|>[[110, 365, 884, 808]]<|/det|>
+In tcBF- STEM the number of pixels in the reconstructed image can be made much larger than the number of diffraction patterns recorded, as at a finite defocus each diffraction pattern contains information about an extended region of the sample. This trade- off between real space and reciprocal space sampling helps speed up the data collection as the multi- pixel detectors used for tcBF tend to be slower to readout than single- pixel sensors. For instance, if each diffraction pattern records information about \(8*8\) subsampled regions, the data collection rate is sped up 64- fold, so a \(10\mathrm{kHz}\) detector frame rate becomes a \(640\mathrm{kHz}\) image- pixel rate. The recovery of information beyond the limits of the real- space probe sampling uses the information collected in the shadow images in the diffraction plane. The information retrival is achieved by a real- space upsampling through sub- (scan)- pixel image shifting. To understand the implementation of this upsampling technique, we start with a demonstration on a standard gold- on- carbon sample. This same approach is then also applied in the data reconstruction workflow for all the examples shown in the paper.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 874, 460]]<|/det|>
+Figure 2 shows a tcBF- STEM dataset acquired with 256\*256 scan positions, spaced 8Å apart. With the chosen defocus value and scan step size (see the online method section), we expect over 90% information overlap collected in the reciprocal space. This information surplus is used to upsample a tcBF image. Details on upsampling can be found in online methods and Fig.S2 to S4. Figure 2a and 2b demonstrate the process of upsampling with part of the detector pixels. Fig. 2d is the final upsampled result with sub- scan- pixel features resolved compared to the original image (c). In Fig. 2e, Thon rings and the 2.3- Å spacing of Au are recovered through upsampling. An FFT radial average profile (g) is shown to confirm that upsampling restores the information beyond the scan Nyquist frequency without altering the information within the frequency range. The upsampling procedure achieves information transfer up to 7 times the real- space Nyquist sampling limit, effectively speeding up data acquisition by a factor of 49.
+
+<|ref|>text<|/ref|><|det|>[[111, 506, 877, 875]]<|/det|>
+The number of pixels in the image is separate from the optical resolution limit. Notably, with the \(\alpha = 5.5\) - mrad convergence semi- angle, the information transfer limit at a cutoff of \(1\alpha\) corresponds to \(3.6\mathrm{\AA}\) and \(1.8\mathrm{\AA}\) at \(2\alpha\) . The 2.3- Å spacing we observed exceeds the \(1\alpha\) cutoff and but is just within the \(2\alpha\) limit. As discussed in the previous section, tcBF has a similar- looking PCTF (Fig.2f) to BF TEM but with an information limit at double the aperture size. This is because the information limit is set by the highest spatial frequency that can be transferred, i.e. the maximum possible momentum transfer. For an axial detector, this would be from an incident wavevector on the radius of the probe- forming aperture to the axis. An off- axis detector that is displaced in the opposite direction to the incident wavevector allows for a maximum momentum transfer that spans the diameter of the aperture, doubling the information limit compared to the axial case.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 123, 870, 250]]<|/det|>
+The calculated phase contrast transfer function (PCTF) shown in Fig. 2f shows the tcBF image has twice the information limit compared to the BF image formed using only the axial detector pixel, as a result of exploiting this off- axis information. Details can be found in the online method section and Fig. S5- S7, including a discussion of practical limits.
+
+<|ref|>sub_title<|/ref|><|det|>[[112, 298, 883, 352]]<|/det|>
+## Comparison of cryo-tcBF-STEM, conventional TEM, and EFTEM for imaging thick samples
+
+<|ref|>text<|/ref|><|det|>[[110, 365, 880, 880]]<|/det|>
+Indeed, we believe tcBF has an advantage for thick specimens. To compare the performance of tcBF- STEM with EFTEM, the most- widely- adopted imaging technique in cryo- EM, we performed successive imaging with the two techniques on various thick specimens, including intact bacterium cells and large cellular organelles. The incident dose is chosen to be the same for each comparison, slit width for EFTEM is \(10 \mathrm{eV}\) and the acceleration voltage is \(300 \mathrm{kV}\) . As the samples are much thicker than the depth of field, quantitative metrics on the full projection convey less information than they would for thin sections, or individual molecules at different depths (which can be determined by the parallax shift in tcBF). Instead we present comparative cases with different acquisition orders, and different defocus choices for the two techniques. Even though no high- resolution information is compared, the image acquired first still introduces radiation damage and conformation change prior to the second. Therefore, we present scenarios where EFTEM images were acquired first, as well as scenarios where tcBF- STEM images were acquired first. Additionally, CTF modulation can affect the quality comparison. However, achieving the exact same defocus for the two techniques can be challenging because the samples are thick ( \(\sim 550 \mathrm{nm}\) to \(700 \mathrm{nm}\) , table) and not flat, and switching between TEM and STEM
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 875, 179]]<|/det|>
+modes is a significant change in optical alignments. As a result, we present a series of cases where EFTEM images are measured to have defoci larger, equivalent to or smaller than those of tcBF, alongside a scenario where both techniques are targeted at the same nominal defocus.
+
+<|ref|>text<|/ref|><|det|>[[111, 228, 880, 880]]<|/det|>
+In Fig.1 (i- n), we showed a comparison on a mitochondrion where tcBF performs better at resolving inner membrane especially towards the thicker part of the organelle. This tcBF image was acquired first with less measured defocus (1.9μm, Fig.3 table I) than EFTEM (3.9μm). EFTEM defoci are measured with CTFFIND \(^{42}\) and tcBF defoci are measured from the image shifts. In this case, membrane contrast in the images is compared across the two techniques but the orientation of the membrane relative to the beam can affect its contrast so differences might be a result of warping of the sample. Another possibility is that the inherent range of tilts in tcBF illumination (up to \(\sim 7\) mrad) improves contrast for a larger range of membrane orientations. But in general, we observe improved contrast in thick specimen regions for tcBF where other features instead of membranes were compared. Fig.3a- b are EFTEM and tcBF images of an intact E.coli cell. With tcBF, features within the cell's interior (Fig.3d with arrows) are effectively resolved, while in EFTEM the same features (possibly condensates or surface contamination) are discernible but less prominent. For this comparison, EFTEM has a lesser value of measured defocus (3.7 μm) than STEM (4.2 μm). In (e) and (f), images with tcBF and EFTEM of a vesicle were acquired with very close defoci (2.8μm). Again, the features in the thick region are clearer compared to EFTEM. We attribute the improved contrast with tcBF to a more efficient use of electrons. In table (I) we compare the ratio of preserved electrons with the two methods. For the samples measured here, tcBF is observed to collect more than 3 times the number of electrons than EFTEM for the same incident dose. For another comparison on E. coli
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 87, 876, 214]]<|/det|>
+at a low dose of \(0.5 \mathrm{e} / \mathrm{\AA}^{2}\) (i- l), tcBF is capable of resolving features that are otherwise indiscernible with EFTEM. Table I provides a summary of information on specimen, acquisition orders, doses, pixel sizes, measured or nominal defocus, thickness estimate using the EFTEM image, and a comparison of dose efficiency.
+
+<|ref|>text<|/ref|><|det|>[[111, 228, 880, 678]]<|/det|>
+Overall, a common trend is that tcBF is more likely to retain higher SNR features in thick regions of samples compared to EFTEM. Figure 4a shows the measured fraction of electrons collected for tcBF and EFTEM, where tcBF collects a factor of 3- 3.5x more signal, an advantage that grows with thickness. We expect both signals to decay exponentially with thickness (t), i.e. \(\exp (- \mathrm{t} / \lambda_{\mathrm{in}})\) for EFTEM and \(\exp (- \mathrm{t} / \lambda_{\mathrm{el}})\) for tcBF. Fitting to the tcBF data in table I, we find the elastic MFP is \(\lambda_{el} = 830 \pm 50 \mathrm{nm}\) assuming an inelastic MFP \(\lambda_{\mathrm{in}}\) of \(310 \mathrm{nm}\) , close to the expected \(\lambda_{el} = 774 \pm 45 \mathrm{nm}\) of the online methods (Figure 4a). Some sense of the relative dose efficiency of the two approaches is given by the ratio of these two exponential decays, i.e. \(\exp (\mathrm{t} / \lambda_{\mathrm{eff}}) = \exp (- \mathrm{t} / \lambda_{\mathrm{el}}) / \exp (- \mathrm{t} / \lambda_{\mathrm{in}})\) where \(- 1 / \lambda_{eff} = 1 / \lambda_{el} - 1 / \lambda_{in}\) , so \(\lambda_{eff} \approx 500 \mathrm{nm}\) . This gives the factor of 3 advantage for tcBF at \(550 \mathrm{nm}\) , and it grows to \(5 \mathrm{x}\) at \(\sim 800 \mathrm{nm}\) . Beyond a thickness of one elastic MFP, much of the phase contrast signal will be lost to multiple elastic scattering and leaving mostly amplitude contrast. This identifies an effective dose advantage window for tcBF over EFTEM for thicknesses beyond \(\sim 400 \mathrm{nm}\) .
+
+<|ref|>text<|/ref|><|det|>[[112, 690, 884, 885]]<|/det|>
+For low spatial frequencies, the collection efficiencies for tcBF and EFTEM can be compared directly because of their similar contrast transfer functions (Figure 4b). STEM methods that also collect the entire bright field disk such as DPC and iDPC can also be compared after accounting for their differences in information transfer as a function of spatial frequency. This is captured by the detective quantum efficiency (DQE) of the imaging system (online methods equations A15- 17). Figure 4c shows that tcBF is more efficient at low spatial
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 88, 808, 142]]<|/det|>
+frequencies. The iPFC CTF and DQE peak at zero defocus and degrade with increasing defocus \(^{43}\) , unlike EFTEM and tcBF.
+
+<|ref|>text<|/ref|><|det|>[[112, 157, 877, 423]]<|/det|>
+To understand the sample damage as a function of dose, we consecutively acquire tcBF- STEM images with doses ranging from \(1.5 \mathrm{e}^{- } / \mathrm{\AA}^{2}\) to \(210 \mathrm{e}^{- } / \mathrm{\AA}^{2}\) (Fig.S8 a- d). After a cumulative exposure of \(280 \mathrm{e}^{- } / \mathrm{\AA}^{2}\) , no obvious sign of bubbling is observed, consistent with previous STEM studies \(^{16}\) , while visible bubbling effects start to form after a total exposure over \(150 \mathrm{e}^{- } / \mathrm{\AA}^{2}\) for conventional TEM \(^{16}\) . This does not mean no damage has occurred, but rather damage products have not migrated over long length scales. This suggests that for cryo- ET, the STEM operation mode might offer a higher total dose tolerance, but it also depends on the desired resolution of information from a tomogram.
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 472, 731, 493]]<|/det|>
+## Single particle analysis 3D reconstruction with cryo-tcBF-STEM imaging
+
+<|ref|>text<|/ref|><|det|>[[112, 505, 883, 877]]<|/det|>
+To quantitatively assess the current performance of tcBF- STEM for molecular structure analysis, we performed SPA of bacteriophage PP7 coat protein, achieving a nominal resolution of \(\sim 7 \mathrm{\AA}\) at 0.143 FSC cutoff using a generic cryoSPARC SPA workflow \(^{44}\) . For this analysis 789 particles are extracted from 19 tcBF- STEM micrographs. Fig. 5a displays a cropped representative micrograph with 2D class average of the particles in the inset. Per- micrograph CTF estimation was performed by CTFFIND \(^{42}\) without local refinement due to the limited number of particles. Approximately 200 particles were manually picked to generate the template for template picking, and 789 particles were selected. The selected classes were then used for ab initio model generation, as a starting model for the homogeneous refinement with icosahedral symmetry applied. Fig. 5b presents the cryo- EM density map sharpened with Guinier B factor of 351 \(\mathrm{\AA}^{2}\) based on the Guinier plot analysis of the 3D reconstruction. A zoom- in view of the EM density
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 87, 864, 179]]<|/det|>
+with X- ray crystal structure of the particle docked inside (Protein Data Bank code 1DWN \(^{45}\) ) is shown in (c). Fourier shell correlation (FSC) indicates a nominal resolution of 7.03 Å with cryoSPARC dynamic mask and 9.6 Å with no mask.
+
+<|ref|>text<|/ref|><|det|>[[111, 193, 880, 670]]<|/det|>
+VLPPP7 possesses an icosahedral symmetry with triangulation number \(\mathrm{T} = 3\) , theoretical molecular weight of 2MDa, containing a high number of repeated units per particle which allows efficient structural averaging with a smaller number of particles. \(\sim 7 - \mathrm{\AA}\) resolution demonstrates the feasibility of using tcBF- STEM for structural analysis at a resolution that can resolve some secondary structures such as alpha helices. We also have preliminary experimental results suggesting no resolution limit improvements with the current ptychography algorithms with a similar number of particles. On the other hand, state- of- art EFTEM imaging under similar doses and the same accelerating voltage can achieve 3.5 Å nominal resolution with 900 particles (Fig. S10). We also attempted iDPC on the same specimen with a 1000kHz segmented detector (Fig. S11) and observed lower- quality phase contrast. We suspect this was mainly due to a poor experimental focus determination as we found iDPC to be very sensitive to focus settings. The supporting Quantifoil material for this sample is gold and the thickness is 50 nm. Low- dose constraints restricted focusing to be only on the supporting foil instead of the sample and the 50- nm- thick supporting foil can introduce a focus offset.
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 718, 207, 735]]<|/det|>
+## Discussion
+
+<|ref|>text<|/ref|><|det|>[[112, 750, 872, 876]]<|/det|>
+We demonstrate tcBF- STEM imaging on purified single particle VLPs and vitrified cellular specimens. A comparative analysis with EFTEM highlights the higher dose efficiency of tcBF- STEM, particularly for thick specimens. The performance of tcBF- STEM on thick specimens in two scenarios was further demonstrated, under low- dose imaging and under cumulative
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 876, 214]]<|/det|>
+exposures, suggesting potential advantages of tcBF for cryo- ET applications. As a proof- of- concept for using this technique for structural determination, tcBF SPA with VLPs shows a \(\sim 7 \mathrm{\AA}\) nominal resolution 3D map using a generic processing workflow for conventional TEM with \(\sim\) 800 particles.
+
+<|ref|>text<|/ref|><|det|>[[111, 228, 879, 388]]<|/det|>
+A key advantage of tcBF is in imaging thick specimens, as it is relatively insensitive to specimen- introduced energy losses. tcBF- STEM stands out as a STEM technique due to its high- dose efficiency, as it takes advantage of nearly all the forward- scattering electrons, making it a potentially powerful imaging technique for studying thick, dose- sensitive specimens, showing a twofold dose advantage over EFTEM at \(400 \mathrm{nm}\) growing to fivefold at \(800 \mathrm{nm}\) .
+
+<|ref|>text<|/ref|><|det|>[[110, 401, 876, 870]]<|/det|>
+Figure 4b compares the CTF for tcBF and DPC, which are the recorded signals we need for estimating the signal/noise ratios for the two methods. The detective quantum efficiencies (DQE) for tcBF and iDPC are proportional to squares of the CTFs plotted in Figure 4b (see online methods equation A16 for it is the DPC CTF and not the iDPC CTF that determines the iDPC DQE). While both approaches have the same information limit, tcBF has a higher information transfer at low spatial frequencies where much of the relevant structural information in a thick sample is located. In the language of ptychography46, tcBF is able to access both the double and triple- overlap regions, while DPC and single- sideband ptychography access only the double overlap (see online methods). tcBF is also able to surpass the real- space scanning Nyquist limit, offering a possibility for rapid data acquisition by trading detector pixels for real- space positions, important for out- running environmental noise in cryogenic experiments. Compared to ptychography, we find tcBF will still produce a robust image under thickness and dose conditions where our current ptychographic forward models fail to converge, and indeed there is a benefit to starting the ptychographic reconstruction from the information provided by
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 870, 319]]<|/det|>
+tcBF, especially the estimate of the probe shape. Furthermore, at low doses where the signal is dominated by the central disk, our analysis summarized in Figure 4b,c gives insight into where the signals accessible to ptychography are encoded. Close to in- focus conditions, only the anti- Friedel term of the PCTF used in DPC and SSB imaging is available. At large defocus, the Friedel term of the PCTF used in tcBF and provides phase contrast at low frequencies is also accessible. This suggests low- dose ptychography should be performed at large defocii conditions similar to those used for tcBF.
+
+<|ref|>text<|/ref|><|det|>[[111, 333, 882, 880]]<|/det|>
+Overall, there are many lessons learned in the decades it took for EFTEM SPA to reach its present resolution that can also be applied to both the algorithm development and experimental design for tcBF and ptychography to boost their performances to comparable levels for thin specimens, and potentially well beyond for thick samples. One of the directions to improve is specimen motion correction. The movie mode and motion correction developed for conventional TEM operation mode effectively accounts for the thermal and mechanical drift and the beam- induced specimen motion47,48. In tcBF- STEM, upsampling effectively reduces the data acquisition time, thereby mitigating the impact of slow drift but beam- induced motion is not handled. Beam- induced motion, reflected by the large B factors in our tcBF reconstruction and other contemporary ptychography reconstructions, are probably the major factor limiting resolution. Current 4D- STEM pixel array detectors are still too slow to incorporate these corrections directly, but analogous correction modes should be possible. Both tcBF and ptychography already contain information in the overlapping probe positions that could be used to correct the beam- induced motion. At present this correction is limited by the dose/recorded diffraction pattern, but a fast detector design with a larger pixel count could address this by allowing for a larger illuminated area/pattern. In summaey, to fully exploit this information may
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 88, 875, 283]]<|/det|>
+require a new, faster generation of detectors and scan systems to meaningfully decipher the underlying specimen motion and time- ordered information. Future efforts aimed to enhance the performance of tcBF- STEM involve addressing beam- induced specimen motion and exploring the practical resolution limits of this technique. This includes using an increased probe convergence angle and higher- order probe aberrations, as well as exploiting the parallax effect to determine and correct the defocus for individual structures within thick sections.
+
+<|ref|>sub_title<|/ref|><|det|>[[113, 334, 251, 352]]<|/det|>
+## Online methods
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 368, 325, 388]]<|/det|>
+## tcBF-STEM upsampling
+
+<|ref|>text<|/ref|><|det|>[[110, 400, 884, 844]]<|/det|>
+For the dataset shown in Fig.2, there are \(256 \times 256\) scan positions with a 5.5 mrad convergence semi- angle probe- forming aperture \((\alpha)\) . A scan step size of \(8 \mathring{\mathrm{A}}\) is used, which sets a real- space Nyquist limit corresponding to \(16 \mathring{\mathrm{A}}\) . With a defocus of \(1.3 \mu \mathrm{m}\) (nominal) is applied, the diameter of the illumination spot size on the sample plane is about \(13 \mathrm{nm}\) . With an \(8 - \mathring{\mathrm{A}}\) scan step size, the collected diffraction patterns contain a substantial amount of overlapping information. This surplus of information is utilized to achieve real- space upsampling through sub- (scan)- pixel image shifting. To implement upsampling, each image formed by a single detector pixel is padded before shift- correcting (Fig. S2), and then combined. The combined image is then weighted by the distribution of sub- pixel image shifts (Fig. S3). Different padding options are also compared and assessed in the supplemental information (Fig. S4). Zero- padding is observed to preserve information- transfer beyond the scan sampling. The PCTF simulation for tcBF and BF uses \(5.5 \mathrm{mrad}\) for convergence semi- angle and \(700 \mathrm{nm}\) defocus. Measuring image shifts in tcBF- STEM can also be regularized using the probe aberration function. All cryogenic tcBF
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 88, 830, 144]]<|/det|>
+images presented here benefit from this regularization, and a comparison with and without regularization is shown in (Fig. S9).
+
+<|ref|>text<|/ref|><|det|>[[112, 157, 879, 598]]<|/det|>
+The limits of upsampling practically depends on several factors in addition to the optical resolution limit. Reciprocal- space sampling, real- space probe overlapping, and real- space image shift accuracy are critical factors for information retrieval through upsampling. Reciprocal- space sampling is primarily determined by the camera length, which is chosen to optimize the collection angle and angular resolution for a given detector. The degree of upsampling we can achieve is also limited by the accuracy of the image shift determination. Insufficient SNR in cross correlation can hinder the accuracy of image shift determination, which usually happens when the image SNR is low. It is possible to improve the accuracy by leveraging knowledge of the expected probe aberration function. It is also important to note that there is a trade- off between fineness of the reciprocal- space sampling and the SNR in the images formed by individual pixels in real space. Additionally, variations in the CTFs from higher- order aberrations and the impact of the aperture edge at different angular positions in the diffraction space, can also lead to false shift determinations.
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 647, 575, 668]]<|/det|>
+## The contrast transfer function for tilted-beam imaging
+
+<|ref|>text<|/ref|><|det|>[[115, 681, 644, 702]]<|/det|>
+In linear imaging theory the image contrast \(C(\omega)\) can be written as
+
+<|ref|>equation<|/ref|><|det|>[[360, 714, 882, 748]]<|/det|>
+\[C(\omega) = P C T F(\omega) \frac{F_{p}(\omega)}{\lambda} \quad (-A1)\]
+
+<|ref|>text<|/ref|><|det|>[[112, 761, 884, 890]]<|/det|>
+where \(F_{p}\) is the elastic scattering amplitude of the projected object and \(\lambda\) is the electron wavelength \(^{48}\) . In general, the phase contrast transfer function (PCTF) can be complex, with the real part corresponding to angularly symmetric (i.e. Friedel- like) scattering, and the imaginary part to antisymmetric scattering. (At the lowest order of approximation, these terms would
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 88, 879, 247]]<|/det|>
+correspond to weak phase and weak amplitude approximations). Rose considered the phase contrast for samples which have undergone both elastic and inelastic scattering, with the case for a tilted beam given by equation 26 of reference \(^{48}\) . For weakly scattering objects, the quadratic and higher- order terms in his equation (26) can be neglected and a simpler, linear PCTF is given by Rose's equation (33)
+
+<|ref|>equation<|/ref|><|det|>[[112, 268, 856, 301]]<|/det|>
+\[PCTF(\omega) = \frac{i}{2\Omega_{0}}\int A(\pmb {\theta})D(\pmb {\theta})\big[A(\omega - \pmb {\theta})e^{-i[\chi(\omega -\pmb {\theta}) - \chi(\pmb {\theta})]} - A(\omega +\pmb {\theta})e^{+i[\chi(\omega +\pmb {\theta}) - \chi(\pmb {\theta})]}\big]d^{2}\pmb {\theta}\]
+
+<|ref|>text<|/ref|><|det|>[[830, 320, 882, 339]]<|/det|>
+-(A2)
+
+<|ref|>text<|/ref|><|det|>[[110, 352, 880, 656]]<|/det|>
+which we interpret here in terms of the STEM geometry where \(\omega , \theta\) are momentum vectors projected onto the detector in the diffraction plane and normalized as scattering angles (which are a vector in this plane, hence the bold notation). We also introduce the factor of \(\frac{1}{2}\) to be consistent with the modern definition that the magnitude of the PCTF is \(\leq 1\) (See reference 48, 2nd column, top of pg 259). \(A(\pmb {\theta})\) and \(D(\pmb {\theta})\) are the probe- forming and detector functions, which are 1 inside the apertures, and 0 outside. \(\chi (\omega)\) is the aberration function of the objective lens and \(\Omega_{0} \approx \pi \alpha^{2}\) is the solid angle subtended by the objective aperture, which cuts off at angle \(\alpha\) . For a pixelated detector with small pixels (i.e. the change in \(\chi\) across a single pixel is small), \(D(\pmb {\theta}) \approx \delta (\pmb {\theta})\) and equation (A2) simplifies to
+
+<|ref|>equation<|/ref|><|det|>[[135, 678, 882, 702]]<|/det|>
+\[PCTF(\omega ,\pmb {\theta}) = i / \Omega_{0} A(\pmb {\theta})\{A(\omega -\pmb {\theta})e^{-i[\chi(\omega -\pmb {\theta}) - \chi(\pmb {\theta})]} - A(\omega +\pmb {\theta})e^{+i[\chi(\omega +\pmb {\theta}) - \chi(\pmb {\theta})]}\} \quad (-A3)\]
+
+<|ref|>text<|/ref|><|det|>[[110, 725, 880, 885]]<|/det|>
+where \(\omega\) is the spatial frequency in the image, and \(\pmb{\theta}\) is the collection angle (i.e. pixel) on the detector, so \(PCTF(\omega , \pmb {\theta})\) gives the PCTF for the image formed by scanning the probe in sample plane and collecting the signal at pixel \(\pmb{\theta}\) on the detector. The \(PCTF(\omega , \pmb {\theta})\) without an aperture is shown in Fig. S5 for a range of different tilts \(\pmb{\theta}\) and the corresponding \(PCTF(\omega , \pmb {\theta})\) for an aperture is shown in Fig. S6.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 860, 110]]<|/det|>
+For the special case of axial illumination ( \(\pmb \theta = 0\) ) the PCTF reduces to the bright field
+
+<|ref|>text<|/ref|><|det|>[[111, 124, 864, 147]]<|/det|>
+CTF of \(- \sin (\chi (\omega))\) . This would also have a cutoff at \(|\omega | = \alpha\) . The tilted beam case has non
+
+<|ref|>text<|/ref|><|det|>[[111, 162, 825, 184]]<|/det|>
+zero contributions outside the aperture, up to a cutoff of \(2\alpha\) when \(|\pmb \theta | = \alpha\) from the terms
+
+<|ref|>text<|/ref|><|det|>[[111, 198, 835, 220]]<|/det|>
+\(A(\pmb \theta)A(\pmb \omega - \pmb \theta),A(\pmb \theta)A(\pmb \omega +\pmb \theta)\) . This is the same information limit as the ADF and iDPC
+
+<|ref|>text<|/ref|><|det|>[[111, 234, 857, 255]]<|/det|>
+imaging, and double that of the axial bright field signal. The power spectrum of the apertured
+
+<|ref|>text<|/ref|><|det|>[[111, 270, 512, 289]]<|/det|>
+PCTF (Fig. S7) shows the double- resolution limit.
+
+<|ref|>text<|/ref|><|det|>[[111, 303, 867, 356]]<|/det|>
+We can get a sense of how the aberrations lead to shifts in the image, by considering the special case where the dominant aberration is defocus so
+
+<|ref|>equation<|/ref|><|det|>[[417, 371, 882, 395]]<|/det|>
+\[\chi (\pmb \theta) = -\gamma_{2}k_{0}\Delta f|\pmb \theta |^{2} \quad (-A4)\]
+
+<|ref|>text<|/ref|><|det|>[[111, 408, 530, 437]]<|/det|>
+where \(k_{0} = \frac{2\pi}{\lambda}\) . The PCTF then further simplifies to
+
+<|ref|>equation<|/ref|><|det|>[[115, 451, 882, 477]]<|/det|>
+\[PCTF(\omega ,\pmb \theta) = i / \Omega_{0}A(\pmb \theta)\{A(\pmb \omega -\pmb \theta)e^{+\gamma_{2}ik_{0}\Delta f\omega^{2}} - A(\pmb \omega +\pmb \theta)e^{-\gamma_{2}ik_{0}\Delta f\omega^{2}}\} e^{-i(\Delta f\pmb \theta)\cdot (k_{0}\pmb \omega)} \quad (-A5)\]
+
+<|ref|>text<|/ref|><|det|>[[111, 491, 870, 513]]<|/det|>
+From the Fourier shift theorem, when transforming from the diffraction plane \(k_{0}\omega\) to the image
+
+<|ref|>text<|/ref|><|det|>[[111, 527, 850, 550]]<|/det|>
+plane \(\pmb{x}\) , the \(e^{- i(\Delta f\pmb \theta)\cdot (k_{0}\omega)}\) term in (A5) gives a shift of the image in real space of \(\Delta f\pmb \theta\) , i.e. a
+
+<|ref|>text<|/ref|><|det|>[[111, 564, 866, 585]]<|/det|>
+shift proportional to the defocus and the angle from the axis on the detector. This is the tilt that
+
+<|ref|>text<|/ref|><|det|>[[111, 600, 861, 621]]<|/det|>
+is corrected by tcBF. The defocus aberration from the \(e^{\pm \gamma_{2}ik_{0}\Delta f\omega^{2}}\) terms are still present in the
+
+<|ref|>text<|/ref|><|det|>[[111, 636, 448, 655]]<|/det|>
+CTF and the tilt- corrected PCTF becomes
+
+<|ref|>equation<|/ref|><|det|>[[224, 670, 882, 696]]<|/det|>
+\[PCTF(\omega ,\pmb \theta) = i / \Omega_{0}A(\pmb \theta)\{A(\omega -\pmb \theta)e^{+\gamma_{2}ik_{0}\Delta f\omega^{2}} - A(\omega +\pmb \theta)e^{-\gamma_{2}ik_{0}\Delta f\omega^{2}}\} (-A6)\]
+
+<|ref|>text<|/ref|><|det|>[[111, 710, 864, 732]]<|/det|>
+The tcBF CTF is obtained by summing over all tilt angles \(\pmb \theta\) . This is most easily accomplished
+
+<|ref|>text<|/ref|><|det|>[[111, 746, 639, 767]]<|/det|>
+by first summing symmetrically over pairs of angles at \(\pmb \theta\) and \(- \pmb \theta\) :
+
+<|ref|>equation<|/ref|><|det|>[[172, 781, 882, 820]]<|/det|>
+\[PCTF(\omega , + \pmb \theta) + PCTF(\omega , - \pmb \theta) = (-2 / \Omega_{0}A(\pmb \theta)\{A(\omega -\pmb \theta) + A(\omega +\pmb \theta)\} \sin (\gamma_{2}k_{0}\Delta f\omega^{2})) - (A7)\]
+
+<|ref|>text<|/ref|><|det|>[[111, 820, 880, 840]]<|/det|>
+and then completing the sum over half of the central disk (say all \(\pmb \theta_{x} > 0\) ). In polar coordinates
+
+<|ref|>text<|/ref|><|det|>[[111, 854, 650, 875]]<|/det|>
+\(\pmb \theta = (\pmb \theta , \pmb \phi)\) and for a disk of diameter \(\alpha\) we integrate over \(\pmb \theta\) and \(\phi\)
+
+<--- Page Split --->
+<|ref|>equation<|/ref|><|det|>[[160, 87, 883, 145]]<|/det|>
+\[C T F_{t c B F}(\omega) = -(2 / \pi \alpha^{2})\left[\int_{0}^{\pi}d\phi \int_{0}^{\alpha}\Theta \mathrm{d}\Theta A(\Theta)\{A(\omega -\Theta) + A(\omega +\Theta)\}\right]\sin (\gamma_{2}k_{0}\Delta f\omega^{2}) \quad (-A8)\]
+
+<|ref|>text<|/ref|><|det|>[[825, 161, 880, 180]]<|/det|>
+- (A8)
+
+<|ref|>text<|/ref|><|det|>[[65, 196, 880, 250]]<|/det|>
+The integral over \(\Theta\) gives the area of the overlap of disks of diameter \(\alpha\) that are \(\omega\) apart, and can be found in the appendix of reference 48 as
+
+<|ref|>equation<|/ref|><|det|>[[270, 263, 727, 330]]<|/det|>
+\[\mathcal{L}(\omega) = \left\{ \begin{array}{c c}{\frac{2}{\pi}\left[\cos^{-1}\left(\frac{1}{2}\omega\right) - \frac{1}{2}\sqrt{1 - \frac{1}{4}\omega^{2}}\right],} & {0\leq \omega \leq 2}\\ {0,} & {\omega \geq 2} \end{array} \right.\]
+
+<|ref|>text<|/ref|><|det|>[[65, 341, 857, 395]]<|/det|>
+\(\mathcal{L}(\omega)\) is the well- known envelope for a self- luminous object, such as for the annular dark field contrast transfer function. The tcBF CTF can then be written more compactly as
+
+<|ref|>equation<|/ref|><|det|>[[355, 411, 880, 434]]<|/det|>
+\[C T F_{t c B F}(\omega) = -\mathcal{L}(\omega)\sin (\gamma_{2}k_{0}\Delta f\omega^{2}) \quad (-A9).\]
+
+<|ref|>sub_title<|/ref|><|det|>[[66, 481, 655, 502]]<|/det|>
+## Comparison of the contrast transfer function for tcBF with DPC
+
+<|ref|>text<|/ref|><|det|>[[66, 515, 840, 570]]<|/det|>
+The optimal CTF for DPC and iDPC is the in- focus condition with no aberrations inside the aperture. Then \(\chi (\theta) = 0\) and the general PCTF simplifies to
+
+<|ref|>equation<|/ref|><|det|>[[280, 585, 881, 607]]<|/det|>
+\[P C T F(\omega) = (i / \Omega_{0})A(\Theta)\{A(\omega -\Theta) - A(\omega +\Theta)\} \quad (-A10)\]
+
+<|ref|>text<|/ref|><|det|>[[66, 621, 856, 644]]<|/det|>
+i.e \(\Re (P C T F) = 0\) at zero defocus, and only the antisymmetric component remains (Fig S6c).
+
+<|ref|>text<|/ref|><|det|>[[66, 657, 835, 712]]<|/det|>
+The DPCx signal is produced by subtracting all the left- tilted \((\Theta_{x}< 0)\) from the right- tilted \((\Theta_{x} > 0)\) detector signals and then summing to produce the DPC CTF of Figure 4b.
+
+<|ref|>text<|/ref|><|det|>[[66, 726, 880, 891]]<|/det|>
+At \(\Theta = 0\) the \(P C T F(\omega) = 0\) , and the PCTF remains 0 so long as \(|\omega |< \alpha\) , \(|\omega - \Theta |< \alpha\) and \(|\omega + \Theta |< \alpha\) giving the white regions in each frame of Fig. S6c. In ptychography, this is referred to as the triple overlap region \(^{46}\) , reflecting the simultaneous overlap of the \(+\omega\) and \(-\omega\) beams with the incident beam (in ptychography, this is usually displayed in detector plane \(\Theta\) for a range of selected \(\omega\) while we have displayed the \(\omega\) plane for a range of selected \(\Theta\) ), and is zero
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 87, 875, 285]]<|/det|>
+for in- focus imaging. When a phase shift is deliberately introduced, this triple- overlap provides the phase contrast for BF imaging, but still remains zero for DPC and single- side band (SSB) ptychography (white regions of Fig S6b). DPC and SSB rely on the double- overlap region where \(|\omega |< \alpha\) and either \(|\omega - \Theta |< \alpha\) or \(|\omega +\Theta |< \alpha\) , but not both. Again, the information limit is the largest value of \(\omega\) for which the PCTF is non- zero. This occurs at \(|\Theta | = \alpha\) and \(\omega = 2\Theta\) , so the largest non- zero value of \(|\omega |\) is \(\omega = 2\alpha\) , double the radius of the aperture.
+
+<|ref|>text<|/ref|><|det|>[[111, 300, 879, 499]]<|/det|>
+It is important to note that the CTF in the triple- overlap region has double the amplitude of that of the double- overlap region(Figure 3 of reference 46). This suggests that tcBF should have the potential to reach double the dose- efficiency of DPC at below spatial frequencies where \(|\omega |< \alpha\) and a \(\pi /2\) phase shift can be introduced through the aberration function. This difference becomes very noticeable at low spatial frequencies where the double overlap terms tend to zero, and the triple overlap contrast can be boosted by increasing defocus.
+
+<|ref|>sub_title<|/ref|><|det|>[[112, 547, 752, 567]]<|/det|>
+## Comparison of the Detective Quantum Efficiency (DQE) for tcBF and iDPC
+
+<|ref|>text<|/ref|><|det|>[[112, 572, 859, 618]]<|/det|>
+The iDPC CTF is obtained from the DPC CTF by integration in real space, corresponding to a division by spatial frequency in Fourier space as
+
+<|ref|>equation<|/ref|><|det|>[[295, 622, 881, 658]]<|/det|>
+\[PCTF_{iDPC}(\omega) = \frac{PCTF_{DPC_x}(\omega) + iPCTF_{DPC_y}(\omega)}{i(k_x + ik_y)} \quad (-A11)\]
+
+<|ref|>text<|/ref|><|det|>[[112, 666, 850, 686]]<|/det|>
+The power spectrum of the recorded DPC image in the presence of a noise spectrum \(N(\omega)\) is
+
+<|ref|>equation<|/ref|><|det|>[[236, 691, 881, 719]]<|/det|>
+\[P_{DPC}(\omega) = |PCTF_{DPC_x}(\omega)|^2 |F_p(\omega)|^2 /\lambda^2 +\alpha^2 |N(\omega)|^2 \quad (-A12)\]
+
+<|ref|>text<|/ref|><|det|>[[112, 725, 715, 745]]<|/det|>
+The power spectrum for iDPC based on the DPC measurement with noise is
+
+<|ref|>equation<|/ref|><|det|>[[231, 750, 881, 790]]<|/det|>
+\[P_{iDPC}(\omega) = \frac{|PCTF_{DPC_x}(\omega)|^2 + |PCTF_{DPC_y}(\omega)|^2}{(k_x^2 + k_y^2)} |F_p(\omega)|^2 /\lambda^2 +\alpha^2 \frac{|N_x(\omega)|^2}{(k_x^2 + k_y^2)} \quad (-A13)\]
+
+<|ref|>text<|/ref|><|det|>[[112, 798, 686, 818]]<|/det|>
+The DQE of the measurement with a noise power spectrum, \(NPS(\omega)\) , is
+
+<|ref|>equation<|/ref|><|det|>[[350, 822, 881, 855]]<|/det|>
+\[DQE(\omega) = DQE(0)\frac{|PCTF(\omega)|^2}{|NPS(\omega)|^2} \quad (-A14)\]
+
+<|ref|>text<|/ref|><|det|>[[111, 862, 790, 882]]<|/det|>
+For an ideal detector pixel, \(DQE(0) = 1\) and for DPC imaging the \(DQE(\omega)\) becomes
+
+<--- Page Split --->
+<|ref|>equation<|/ref|><|det|>[[350, 88, 882, 122]]<|/det|>
+\[DQE_{DPCx}(\omega) = \frac{|PCTFD_{PCx}(\omega)|^2}{\alpha^2|N(\omega)|^2} \quad (-A15)\]
+
+<|ref|>text<|/ref|><|det|>[[113, 128, 508, 147]]<|/det|>
+and after integrating, the DQE for iDPC becomes
+
+<|ref|>equation<|/ref|><|det|>[[290, 153, 882, 191]]<|/det|>
+\[DQE_{iDPC}(\omega) = \frac{|PCTFD_{PCx}(\omega)|^2 + |PCTFD_{PCy}(\omega)|^2}{2\alpha^2|N(\omega)|^2} \quad (-A16)\]
+
+<|ref|>text<|/ref|><|det|>[[113, 197, 883, 242]]<|/det|>
+This has a very similar shape to the DPC DQE since the noise is amplified in the same way as the signal.
+
+<|ref|>text<|/ref|><|det|>[[113, 249, 680, 269]]<|/det|>
+Similarly, applying equation A10 for tcBF we find the tcBF DQE to be,
+
+<|ref|>equation<|/ref|><|det|>[[408, 274, 882, 308]]<|/det|>
+\[DQE_{tcBF}(\omega) = \frac{|PCTF_{tcBF}(\omega)|^2}{\alpha^2|N(\omega)|^2} \quad (-A17)\]
+
+<|ref|>text<|/ref|><|det|>[[113, 314, 881, 411]]<|/det|>
+For an ideal detector the noise spectrum is only from Poisson noise, which is flat, so the differences in DQE for tcBF and iDPC can understood by comparing the squares of the PCTFs for tcBF and DPC (not iDPC). These are shown in figure 4b. As a consequence, iDPC has a poor DQE at low spatial frequencies compared to tcBF.
+
+<|ref|>sub_title<|/ref|><|det|>[[113, 455, 472, 473]]<|/det|>
+## Mean Free Paths and Thickness Estimates
+
+<|ref|>text<|/ref|><|det|>[[112, 487, 865, 894]]<|/det|>
+Measurements of the inelastic MFP (scaled to \(300\mathrm{keV}^{49}\) ) range from \(100\mathrm{nm}\) for amorphous carbon to \(275\mathrm{nm}\) for proteins to \(310\mathrm{nm}\) for vitreous ice \(^{50}\) , scaling roughly with the degree of hydrogenation. For our thickness measurements we use the inelastic MFP of ice. The elastic MFP is more strongly dependent on the range of collection angles as the elastic scattering has a much wider angular distribution than inelastic scattering. Thus, what is often reported is n, the ratio of elastic to inelastic scattering for a given measurement geometry, and this is in the range 2- 5, with 3 being a typical value for cryoEM of organic systems \(^{51}\) , suggesting a typical elastic MFP is about 700- 900 nm. We calculated the elastic MFP from a multislice simulation of amorphous ice, for a 50 and \(200\mathrm{nm}\) thick supercell and a 5.5 mrad convergence and collection angle at \(300\mathrm{keV}\) . Averaging over multiple configurations, we fit the decay of the central beam to find the elastic MFP, \(\lambda_{el} = 774 \pm 45\mathrm{nm}\) . The elastic MFP sets a thickness for which the dominant contrast mechanism crosses over from phase contrast to scattering absorption contrast.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 122, 880, 285]]<|/det|>
+In relating the signal remaining in an energy filtered image, \(I_{EFTEM}(t) = I_{TEM}\exp (- t / \lambda_{in})\) and \(I_{TEM}\) is the corresponding unfiltered image. Even when no objective aperture is used, there is still some high- angle elastic scattering (including backscattering) that does not reach the detector, so not all of the incident beam is collected and \(I_{TEM}(t) = I_{0}\exp (- t / \lambda_{HA})\) . Combining these results, we get
+
+<|ref|>equation<|/ref|><|det|>[[294, 298, 882, 321]]<|/det|>
+\[I_{EFTEM}(t) = I_{0}\exp (-t / \lambda_{HA})\exp (-t / \lambda_{in}) = I_{0}\exp (-t / \lambda_{in}') \quad (-A18)\]
+
+<|ref|>text<|/ref|><|det|>[[112, 335, 884, 427]]<|/det|>
+For our microscope, we measured \(\lambda_{HA} = (46 \pm 1) \lambda_{in}\) , and it is convenient to keep the functional form \(\lambda_{HA} = \alpha \lambda_{in}\) From eqn (A14) we can calculate the high angle correction to the inelastic mean free path as
+
+<|ref|>equation<|/ref|><|det|>[[465, 440, 699, 463]]<|/det|>
+\[\lambda_{in}' = \lambda_{in} \alpha /(\alpha + 1) \quad (A19).\]
+
+<|ref|>text<|/ref|><|det|>[[112, 478, 404, 498]]<|/det|>
+so \(\lambda_{in}' = 0.979 \lambda_{in} = 303 \mathrm{nm}\) for ice.
+
+<|ref|>sub_title<|/ref|><|det|>[[113, 549, 445, 568]]<|/det|>
+## Comparative analysis on thick samples
+
+<|ref|>text<|/ref|><|det|>[[111, 581, 880, 884]]<|/det|>
+The organelles shown in Fig. 1i- n and Fi. 3e- h were isolated and purified from the HEK293T cells. Cells were mechanically lysed by osmotic shock and needle shearing52. The STEM images were recorded using an EMPAD19 on a TFS Krios G4 with a 7 mrad semi- convergence angle and a 2.8nm scan step size. \(256^{*}256\) scan positions were collected. The corresponding EFTEM images were recorded using a Falcon 4i detector and the Selectris X energy filter with a slit width of \(10 \mathrm{eV}\) on the same TFS Krios G4. Acceleration voltage was \(300 \mathrm{kV}\) and the spherical aberration of the objective lens was \(2.7 \mathrm{mm}\) . tcBF images are reconstructed with the iterative alignment provided in py4DSTEM32 and upsampling is implemented in an in- house Python package based on the method described in the upsampling section.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 123, 881, 459]]<|/det|>
+The E. coli specimen shown in Fig. 3 were prepared from the GL002 strain and plunge frozen with 200- mesh Quantifoil 2/1 holey carbon copper TEM grids. For Fig. 3i- l, the images were recorded on a customized Thermo Scientific Titan Themis with Gatan 626 cryo- transfer holder at \(300\mathrm{kV}\) . The STEM images were recorded using an EMPAD20 with 2 mrad convergence angle. tcBF images were reconstructed with in- house Python package where the alignment algorithm is based on rigid shift registration between every possible pair53 and upsampling algorithm as described in the section. The EFTEM images were acquired with a K2 Summit direct detector (Gatan) operating in linear mode. For all the EFTEM images, short exposures were collected in the movie mode and cross- correlated with the number of frames chosen to match the dose of the corresponding STEM image.
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 508, 387, 528]]<|/det|>
+## Single particle analysis on VLPs
+
+<|ref|>text<|/ref|><|det|>[[111, 540, 872, 844]]<|/det|>
+The specimen is a coat protein of bacteriophage PP7 self- assembled during recombinant expression in E. coli. TEM grids used are R1.2/1.3 mesh 300 UltraFoil. STEM images were acquired on the customized Thermo Scientific Titan Themis with a Gatan 626 cryo- transfer holder. Images were recorded with \(300\mathrm{kV}\) acceleration voltage on an EMPAD- G2 detector20, 8 mrad semi- convergence angle, 11 Å scan step size, \(45\mathrm{eV / \AA}^2\) total exposure dose and upsampled to an image pixel size of \(2.77\mathrm{\AA}\) . A typical scan size is \(512*512\) with \(100\mu \mathrm{s}\) dwell time. tcBF images are reconstructed with the iterative alignment provided in py4DSTEM32 and upsampling is implemented in an in- house Python package based on the method described in the upsampling section. The SPA reconstruction is obtained with cryoSPARC44 where CTFFIND42 is used to
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 883, 285]]<|/det|>
+estimate global CTF. Particles are picked with a template generated by manually- picked particles. The final 3D reconstruction has icosahedral symmetry and a dynamic mask imposed. The comparative analysis of the VLPs with EFTEM is performed with a Cs- corrected TFS Krios, shown in Fig. S11. The EFTEM data were acquired at an accelerating voltage of \(300\mathrm{kV}\) , a pixel size of \(1.076\mathrm{\AA}\) and a total dose is \(52.18\mathrm{e}^{- } / \mathrm{\AA}^2\) . The defocus ranges from - \(1\mu \mathrm{m}\) to - \(2\mu \mathrm{m}\) . The final reconstruction is obtained with 900 particles and the analysis is also done with cryoSPARC \(^{42}\) .
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 334, 280, 352]]<|/det|>
+## Acknowledgements
+
+<|ref|>text<|/ref|><|det|>[[110, 366, 881, 842]]<|/det|>
+This work is supported by NSF (DMR- 1654596, DMR- 1429155, DMR- 1719875, DMR- 2039380), the Packard Foundation, and Chan Zuckerberg Institute for Advanced Biological Imaging. This work made use of the instruments at Chan Zuckerberg Institute for Advanced Biological Imaging, the Cornell Center for Materials Research (CCMR) Shared Facilities and PARADIM. CCMR facilities and X.S.Z. are supported through the NSF MRSEC program (DMR- 1719875). PARADIM and S.E.Z. are supported by the NSF MIP program (DMR- 2039380). We are grateful for all the time that Lena was able to share with us. May her memory be a blessing. The authors thank Dr. Tianhong for inspiring discussions on tcBF upsampling. The authors appreciate Dr. Yasu Xu for providing the E.coli specimens, and Dr. Manuel D. Leonetti’s group for providing the cell lines for the organelle specimens. In addition, the authors want to thank Dr. Earl J. Kirkland for helpful discussions on tilted BF CTFs and Paul Cueva (NSF PHY- 1549132) for help with aberration and tilt measurements in 4D- STEM. The authors acknowledge Dr. Georgios Varnavides, Dr. Stephanie M. Ribet, and Dr. Colin Ophus for helpful discussions on improving algorithms for tcBF. The authors also thank Dr. Bridget Carragher, Dr. Clinton S.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 857, 144]]<|/det|>
+Potter, and Dr. David Agard for advice on experimental designs for comparing tcBF- STEM to EFTEM, as well as for insights on future steps to improve the technique.
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 195, 301, 213]]<|/det|>
+## Author Contributions
+
+<|ref|>text<|/ref|><|det|>[[111, 228, 879, 420]]<|/det|>
+Y.Y., K.A.S., D.A.M., and L.F.K. designed the tcBF experiments. Y.Y, K.A.S., and K.X.N. performed the tcBF experiments. Y.Y., K.A.S., M.C., K.X.N, D.A.M. and L.F.K. developed tcBF algorithm and analyzed the tcBF data. S.E.Z. and D.A.M. calculated the tcBF CTFs. R.P. D.S. and H.S. prepared the purified cellular organelle samples. Y.Y., R.P., M. K. and C.D. analyzed the single particle data. X.Z. and Y.Y. performed iDPC experiments. X.Z. analyzed iDPC data. Y.Y., K.A.S., L.F.K., and D.A.M. wrote the manuscript with input from all authors.
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 473, 258, 491]]<|/det|>
+## Data Availability
+
+<|ref|>text<|/ref|><|det|>[[115, 507, 757, 560]]<|/det|>
+The 4D- STEM data sets for Fig. 11- n and Fig.2a- h are available on Zenodo (DOI: 10.5281/zenodo.10825339), along with the corresponding EFTEM images.
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 612, 261, 630]]<|/det|>
+## Code Availability
+
+<|ref|>text<|/ref|><|det|>[[115, 646, 682, 700]]<|/det|>
+House built python packages for tcBF- STEM are available on Github at https://github.com/yyu2017/tcBFSTEM.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[118, 150, 880, 520]]<|/det|>
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[70, 84, 880, 682]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[113, 702, 840, 723]]<|/det|>
+Figure 1. | Direct phase-contrast imaging with 4D STEM: tilt-corrected bright-field (tcBF) -
+
+<|ref|>text<|/ref|><|det|>[[111, 735, 881, 895]]<|/det|>
+STEM employs a pixelated STEM detector to collect the entire convergent beam electron diffraction (CBED) pattern (a). Each detector pixel within the bright-field (BF) disk is a coherent BF STEM detector though located off the optical axis. By reciprocity (b), off-axis BF- STEM (top down) is equivalent to tilted- illumination TEM (bottom up). Similar to BF TEM, defocus is applied to introduce phase contrast. For a standard gold- on- carbon sample and a defocused
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 85, 880, 710]]<|/det|>
+probe, integrating the signals collected by two off- axis detector pixels (red and green) in (c) produces two images with relative shifts between them (d). For every detector pixel, the image shifts determined through cross- correlation with the on- axis detector pixel are shown by the arrows overlaid on the averaged CBED pattern in (e) with a zoom- in and binned view in (g). The arrows are color- coded corresponding to the shift directions. Integrating the full forward- scattered bright- field (BF) signals without correcting for the angle- dependent shifts results in blurring (f) due to the defocus. A tcBF- STEM image (h) is generated by summing the images after shift correction. In a tcBF- STEM image, the signal- to- noise ratio (SNR) is increased compared to (d) and the blurring due to defocus (f) is corrected. To compare the performance of tcBF- STEM with energy- filtered TEM (EFTEM) on thick samples, (i) and (l) are the images acquired in the same area in a mitochondrion. The dose measured over vacuum is \(14 \mathrm{e}^{- } / \mathrm{\AA}^{2}\) , and the acceleration voltage is \(300 \mathrm{kV}\) for both acquisitions. More information can be found in table I. The membrane bilayer was similarly resolved in the thin part of the sample for both methods. However, in thicker regions (j) and (m), tcBF still shows the membrane bilayers clearly (indicated by the orange arrowheads), while this feature is less visible with EFTEM. In the even thicker region (k and n), tcBF can still resolve some parts of the inner membranes whereas with EFTEM these features are less discernible. A thickness estimate map, obtained from the fraction of electrons remaining in the energy- filtered image, is given in Fig. S1, with thicknesses ranging
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[55, 90, 304, 106]]<|/det|>
+641 from 470 nm to 620 nm
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[120, 91, 409, 125]]<|/det|>
+Masked detector regions overlaid with shift map and averaged CBED
+
+<|ref|>image<|/ref|><|det|>[[120, 130, 795, 900]]<|/det|>
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[113, 92, 879, 297]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[113, 312, 879, 332]]<|/det|>
+Figure 2. | Up-sampling by 8 speeds up data acquisition by 64-fold. Up-sampling for tcBF-
+
+<|ref|>text<|/ref|><|det|>[[111, 344, 883, 894]]<|/det|>
+STEM of a gold- on- carbon combined test sample is accomplished by exploiting the image shifts from different detector pixels as a result of defocus (and higher order aberrations). (a) The colored arrows show the shift measured for the scanned images synthesized at each detector pixel inside the bright field disk. Scanned images formed by the two white pixels on the detector shown in (a) will be shifted from each other. Correcting for these shifts and accumulating signals collected from the selected detector regions fills in different regions of the scanned image (b) at a spacing finer than the recorded probe positions, demonstrating the first step of a complete up- sampling. A tcBF- STEM image (c) is collected with a defocused probe at an 8- Å scan step size. In the up- sampled tcBF- STEM image (d), additional sub- scan- pixel features are resolved compared to the original image (c). (e) Experimental power spectrum from the full image of the test sample showing Thon rings and the 2.3- Å ring of gold lattice spacing beyond the scan Nyquist frequency (1/16 Å-1, black box) are recovered by up- sampling. An FFT radial average profile (g) shows that up- sampling recovers information beyond the scan Nyquist frequency without altering the signal within the electron- optical information limit. (f) The calculated phase contrast transfer function (PCTF) for a tcBF image after shift correction shows twice the information limit compared to the BF image formed using only the axial detector pixel, as a
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[55, 88, 866, 110]]<|/det|>
+661 result of exploiting off- axis information. The simulation uses 5.5 mrad convergence semi- angle
+
+<|ref|>text<|/ref|><|det|>[[56, 123, 728, 144]]<|/det|>
+662 probe- forming aperture (α), 300 kV acceleration voltage and 700 nm defocus.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[117, 112, 884, 712]]<|/det|>
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[120, 92, 880, 703]]<|/det|>
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[115, 92, 884, 693]]<|/det|>
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 88, 875, 636]]<|/det|>
+Figure 3. | Comparison of EFTEM and tcBF- STEM with different doses, defoci and acquisition orders. The same region of interest in various specimens was imaged successively in order to compare the techniques. For each comparison, the total dose measured over vacuum and the electron acceleration (300 kV) are the same, and the average thickness can be estimated with the EFTEM images using the ratio of I0/I and the inelastic MFP, similar to Fig. S1. The dose efficiency of the two techniques is compared by the ratio of remaining electrons in the images to the incident total electrons. Overall, for the samples demonstrated here, tcBF is observed 3- 3.5x higher collection efficiency than EFTEM at a similar incident dose/unit area. For EFTEM images, slit widths are all 10 eV and defoci are measured with CTFFIND \(4^{42}\) . For tcBF images, defoci are measured with the image shifts. (a) and (b) are EFTEM and tcBF images of an intact \(E.coli\) cell. With tcBF (d), features in the interior region of the cell are effectively resolved, whereas in EFTEM (c), although the same features are discernible, they are less visible. In (e) and (f), images with EFTEM and tcBF of a vesicle at similar measured defoci are shown. Again, in the thick region tcBF reveals clearer features compared to EFTEM. For another comparison on \(E.coli\) at a low dose of \(0.5\mathrm{e}^{- } / \mathrm{\AA}^{2}\) (i- l), tcBF is able to resolve features that are otherwise indiscernible with EFTEM. Thickness and other experimental details in Table I.
+
+<--- Page Split --->
+<|ref|>table<|/ref|><|det|>[[114, 88, 945, 228]]<|/det|>
+
+ | Specimen | Acquired first | Dose (e/Å2) | Pixel size (Å) | Defocus (nm) | Average thickness estimate* (nm) | Fraction of incident electrons in the image |
| EFTEM | tcBF | EFTEM | tcBF | EFTEM | tcBF |
| Fig.1i-n | mitochondrion | STEM | 14 | 2.37 | 3.59 (up-sample 8) | 3978.4 | 1943.6 | 547 | 0.171 | 0.533 |
| Fig.3a-d | E.coli | EFTEM | 14 | 2.37 | 3.59 (up-sample 8) | 3743.8 | 4262.9 | 673 | 0.114 | 0.403 |
| Fig.3e-h | vesicle | EFTEM | 14 | 2.37 | 3.59 (up-sample 8) | 2849.2 | 2825.0 | 586 | 0.151 | 0.522 |
| Fig.3i-l | E.coli | STEM | 0.5 | 12.96 (bin by 4) | 10.8 (up-sample 4) | 4000 (nominal**) | 4000 (nominal) | -- | -- | -- |
+
+<|ref|>table_footnote<|/ref|><|det|>[[120, 230, 866, 264]]<|/det|>
+All data were acquired with \(300\mathrm{kV}\) acceleration voltage at cryogenic temperature \\* Average thickness is estimated with inelastic scattering MFP using the ratio of electrons in the 10-eV EFTEM image and the incident electrons over vacuum. \\*\\* Nominal defocus is the calibrated instrument defocus after focusing using a nearby area
+
+<|ref|>text<|/ref|><|det|>[[115, 281, 850, 300]]<|/det|>
+Table I. Summary for the information on specimen, doses, pixel sizes, measured or nominal
+
+<|ref|>text<|/ref|><|det|>[[115, 316, 866, 336]]<|/det|>
+defocus, thickness estimate using the inelastic MFP, and a comparison of the dose efficiency of
+
+<|ref|>text<|/ref|><|det|>[[115, 352, 261, 369]]<|/det|>
+EFTEM and tcBF.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[123, 92, 710, 425]]<|/det|>
+
+
+<|ref|>image<|/ref|><|det|>[[123, 444, 712, 900]]<|/det|>
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 879, 670]]<|/det|>
+Figure 4. (a) Collection efficiency of EFTEM (no objective aperture) and tcBF (7 mrad aperture), showing the measured fraction of electrons left in the image compared to the incident beam as a function of sample thickness from the data sets in table 1. tcBF is seen to retain over 3- 4x more signal than EFTEM. The sample thickness is determined from the EFTEM fraction, assuming an inelastic MFP of 310 nm. From this, the decay of the unfiltered tcBF images gives an elastic MFP of \(830\pm 50 \mathrm{nm}\) . (b) Comparison of the contrast transfer functions for tcBF, axial BF, and in- focus DPC for a 5.5 mrad probe- forming aperture, \(\alpha\) . The axial BF CTF cuts off at \(\alpha\) , while the DPC and tcBF information limits extend to \(2\alpha\) . The damping envelope for tcBF follows the classic double- overlap form expected from summing over the tilted CTF functions in supplementary figures S6 and S7. The DPC signal peaks close to \(\alpha\) and is suppressed at low frequencies compared to the defocus- optimized tcBF but is more efficient from \(\alpha\) to \(2\alpha\) . The iDPC CTF has the same shape as the damping envelope but does not reflect the true information transfer. The iDPC CTF is obtained by dividing the measured DPC signal by spatial frequency, which also amplifies noise by the same proportion, resulting in a vanishingly small signal/noise ratio at low spatial frequencies (see online methods for analytic derivations). (c) The result is the DQE for iDPC is the same as that for DPC and both have poor efficiency at transferring low frequencies. Defocused tcBF is very efficient at transferring low frequencies.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[150, 107, 475, 360]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[216, 92, 388, 106]]<|/det|>
+TcBF-STEM micrograph
+
+<|ref|>image<|/ref|><|det|>[[510, 103, 872, 680]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[606, 91, 758, 105]]<|/det|>
+cryo-EM density map
+
+<|ref|>image<|/ref|><|det|>[[110, 400, 490, 686]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[150, 378, 427, 394]]<|/det|>
+d. Fourier Shell Correlation (FSC)
+<|ref|>image_caption<|/ref|><|det|>[[112, 705, 866, 900]]<|/det|>
+Figure 5. | Single particle analysis 3D reconstruction from tcBF-STEM imaging of hydrated vitrified coat protein of bacteriophage PP7. A representative up-sampled tcBF-STEM image at 300 kV with 11 Šscan step size and a total dose of 45 e-/Ų is shown in (a) with a 2D class average in the inset. The 3D density map resolved from 789 particles is shown in (b) with a zoom-in view of the PDB 1DWN model fit inside the density map in (c). \(\sim 7\) Šnominal resolution is reached based on the Fourier Shell Correlation (FSC) with 0.143 cutoff.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[120, 100, 877, 377]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[113, 398, 876, 559]]<|/det|>
+Fig. S1| A contour plot of the thickness estimate for the sample shown in Fig.1i-n. The thickness is estimated with the inelastic MFP using Beer's law. Using the EFTEM dataset, we obtain a ratio of I0/I, where I0 is the intensity recorded over vacuum, and I is the energy filtered intensity with a 10-eV slit recorded over the sample. The thickness is estimated In(I0/I)\*inelastic MFP. The inelastic MFP used here is 310 nm for vitrified ice at 300 kV41.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[127, 90, 880, 355]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[112, 377, 853, 400]]<|/det|>
+Fig. S2| To facilitate sub-scan-pixel image shifting, each real-space image formed by a single
+
+<|ref|>text<|/ref|><|det|>[[112, 411, 870, 572]]<|/det|>
+detector pixel is first padded with zero- intensity pixels. In (a), there is a bright field image formed using a single detector pixel for a standard gold- on- carbon sample under the previously described imaging condition in Fig.2. Each pixel (b) in the image (a) becomes an 8x8 pixel block (c) after padding. The padding process only involves inserting zero values between the original pixels without altering their values.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[130, 95, 830, 601]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[112, 620, 860, 744]]<|/det|>
+Fig. S3| Normalization of uneven distributions of sub-pixel shifts: the same up-sampled image shown in Fig. 2d with the periodic intensity variations amplified in the blue-boxed area (b) for better visibility. By tracking the sub-pixel shift distribution (d) and applying an intensity normalization based on this distribution, the periodic artifacts can be corrected (c).
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[115, 88, 880, 285]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[112, 301, 840, 390]]<|/det|>
+Fig. S4| Higher-order interpolation padding: line profiles (left) illustrate in 1D the results of padding with zero-intensity pixels and progressing to quintic interpolation values. The corresponding FFTs of the up-sampled images are shown on the right.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[118, 90, 763, 550]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[112, 572, 879, 732]]<|/det|>
+Fig. S5| The aperture-free, complex PCTF for \(300\mathrm{kV}\) electrons and \(700\mathrm{nm}\) defocus in a Zemlin tilt-tableau out to \(5.5\mathrm{mrad}\) of tilt. The x-y coordinates within each frame are spatial frequencies of the image, \(\omega\) , and the tilt offset of each frame is \(\pmb \theta\) . With no objective (condenser) aperture and no higher order aberrations, the power spectrum of each image under tilted illumination is identical.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[118, 95, 874, 285]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[113, 291, 875, 348]]<|/det|>
+Fig. S6| The symmetric and antisymmetric components of the PCTF for 300 kV electrons with a 5.5 mrad objective (condenser for STEM) in a Zemlin tilt-tableau out to 5.5 mrad of tilt .
+
+<|ref|>text<|/ref|><|det|>[[111, 360, 881, 560]]<|/det|>
+(a) \(\Re e(PCTF)\) at 700 nm defocus showing the symmetric, Friedel term, (b) \(\Im m(PCTF)\) at 700 nm defocus showing the anti-symmetric, anti-Friedel term. The phase ramp across each individual PCTF reflects a shift in real space of the imaged object. Shifting the individual images corrects for the tilt-induced phase ramp, and subsequently summing the tilt-corrected images gives the PCTF shown in Figure 2f. (c) \(\Im m(PCTF)\) at zero defocus, again showing its antisymmetric nature. The DPC-x image is formed by subtracting the left tilts from the right.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[115, 92, 710, 550]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[112, 572, 880, 696]]<|/det|>
+Fig. S7| The power spectrum for \(300\mathrm{kV}\) electrons and \(700\mathrm{nm}\) defocus with a \(5.5\mathrm{mrad}\) objective (condenser) in a Zemlin tilt-tableau out to \(5.5\mathrm{mrad}\) of tilt. This highlights the strong modulations in the overlap region, and the weaker transfer in the sidelobes, but with an information limit of twice the aperture radius.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[113, 123, 877, 275]]<|/det|>
+
+<|ref|>text<|/ref|><|det|>[[111, 290, 870, 412]]<|/det|>
+Fig.S8| Dose Tolerance for tcBF- STEM images collected sequentially with increasing dose: (a) \(1.3 \mathrm{e} / \mathrm{A}^{2}\) , (b) \(15.2 \mathrm{e} / \mathrm{A}^{2}\) , (c) \(57.6 \mathrm{e} / \mathrm{A}^{2}\) , (d) \(210.5 \mathrm{e} / \mathrm{A}^{2}\) . Large- length- scale features in the specimen appear tolerant to a high cumulative dose, with no bubbling appearing even in the final exposure where the cumulative dose is \(286 \mathrm{e} / \mathrm{A}^{2}\) .
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[115, 88, 880, 521]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[112, 536, 861, 559]]<|/det|>
+Fig. S9| To overcome the low-SNR challenge for imaging frozen-hydrated apoferritin, 4-by-4
+
+<|ref|>text<|/ref|><|det|>[[111, 570, 872, 905]]<|/det|>
+detector pixels are combined for successful cross- correlation (a). Fitting the shifts to the aberration function and applying the results to the original detector pixels help restore the information from individual detector pixels and improve image shift accuracy (b). The maps in the insets (i) present the shifts of images formed by each detector pixel, with the intensities indicating the magnitudes and the colors corresponding to the directions. The Fourier Ring Correlating (FRC) in the inset (ii) confirms the resolution enhancement by leveraging aberration, improving the cut- off resolution from 38.5 Å to 6.9 Å. For the thicker E.coli sample, the tcBF image with image shifts resolved on binned detector pixels (c) reveals the bilayer cell membrane and details in the interior of the cell. Leveraging aberration fitting results (d) pushes the resolution from 28.1 Å to 11.6 Å (inset (ii)). The 1/7 correlation threshold and the Nyquist
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 875, 248]]<|/det|>
+sampling limit are labelled in the FRC plot. The images in (a) to (d) are cropped to show and the FRCs are computed with the full field of view. To calculate the FRC for tcBF- STEM, we generate two tcBF- STEM images from a single dataset by choosing alternating pixels within the BF disks and then reconstructing each subset independently. The normalized cross- correlation coefficient between the two resulting images represents the FRC of the dataset.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[163, 95, 816, 243]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[123, 264, 881, 366]]<|/det|>
+Fig S10| EFTEM of VLP PP7 SPA with 900 particles reaches a nominal resolution of \(3.36\mathrm{\AA}\) . The EFTEM data is acquired on a Cs-corrected TFS Krios at an accelerating voltage of \(300\mathrm{kV}\) . The image pixel size is \(1.076\mathrm{\AA}\) and the total dose is \(52.18\mathrm{e}^{-} / \mathrm{\AA}^2\) . The defocus ranges from -1μm to -2μm. The final reconstruction is obtained with 900 particles and the analysis is done with cryoSPARC44.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[120, 100, 728, 340]]<|/det|>
+
+<|ref|>text<|/ref|><|det|>[[111, 362, 880, 455]]<|/det|>
+Fig S11| Cryo- iDPC on VLP PP7: the iDPC data was acquired using the TFS Panther detector on a TFS Spectra at 300 kV. Utilizing an in- house MATLAB code, iDPC images were generated (left), incorporating a high- pass filter (right) to eliminate low- frequency noise51.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[113, 90, 207, 108]]<|/det|>
+## Reference:
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+912 51. Egerton, R. F. Measurement of inelastic/elastic scattering ratio for fast electrons and its use in the study of radiation damage. Phys. Status Solidi A 37, 663–668 (1976).912 52. Hein, M. Y. et al. Global organelle profiling reveals subcellular localization and remodeling at proteome scale. 2023.12.18.572249 Preprint at https://doi.org/10.1101/2023.12.18.572249 (2023).912 53. Savitzky, B. H. et al. Image registration of low signal-to-noise cryo-STEM data. Ultramicroscopy 191, 56–65 (2018).
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+
+# Control of Polymers' Amorphous-crystalline Transition for Hydrogel Bioelectronics Miniaturization and Multifunctional Integration
+
+Siyuan Rao syrao@umass.edu
+
+University of Massachusetts, Amherst https://orcid.org/0000- 0002- 1555- 487X
+
+Sizhe Huang UMass Amherst
+
+Xinyue Liu Massachusetts Institute of Technology
+
+Shaoting Lin https://orcid.org/0000- 0002- 1308- 9628
+
+Christopher Glynn UMass Amherst
+
+Kayla Felix UMass Amherst
+
+Atharva Sahasrabudhe Massachusetts Institute of Technology
+
+Collin Maley UMass Amherst
+
+Jingyi Xu UMass Amherst
+
+Weixuan Chen UMass Amherst
+
+Eunji Hong UMass Amherst
+
+Alfred Crosby
+
+University of Massachusetts Amherst https://orcid.org/0000- 0001- 8850- 8869
+
+Qianbin Wang
+
+UMass Amherst
+
+<--- Page Split --->
+
+## Keywords:
+
+Posted Date: May 9th, 2023
+
+DOI: https://doi.org/10.21203/rs.3.rs- 2864872/v1
+
+License: © This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+Additional Declarations: There is NO Competing Interest.
+
+Version of Record: A version of this preprint was published at Nature Communications on April 25th, 2024. See the published version at https://doi.org/10.1038/s41467- 024- 47988- w.
+
+<--- Page Split --->
+
+1 Control of Polymers' Amorphous-crystalline Transition for Hydrogel Bioelectronics2 Miniaturization and Multifunctional Integration3 Sizhe Huang1, Xinyue Liu2, Shaoting, Lin3, Christopher Glynn1, Kayla Felix1, Atharva4 Sahasrabudhe4, Collin Maley1, Jingyi Xu1, Weixuan Chen1, Eunji Hong1, Alfred J. Crosby5,5 Qianbin Wang1,*,, Siyuan Rao1,6,7,*6 1. Department of Biomedical Engineering, University of Massachusetts, Amherst, MA 01003,7 United States8 2. Department of Mechanical Engineering, Massachusetts Institute of Technology, Cambridge, MA,9 02139, United States10 3. Department of Mechanical Engineering, Michigan State University, MI, 48824, United States11 4. Research Laboratory of Electronics, Massachusetts Institute of Technology, Cambridge, MA,12 02139, United States13 5. Department of Polymer Science and Engineering, University of Massachusetts, Amherst, MA14 01003, United States15 6. Institute for Applied Life Sciences, University of Massachusetts, Amherst, MA 01003, United16 States17 7. Neuroscience and Behavior Graduate Program, University of Massachusetts, Amherst, MA18 01003, United States19 Corresponding authors: Qianbin Wang (qianbinwang@umass.edu), Siyuan Rao20 (syrao@umass.edu)21
+
+<--- Page Split --->
+
+## 1 Abstract:
+
+Bioelectronic devices made of soft elastic materials exhibit motion- adaptive properties suitable for brain- machine interfaces and for investigating complex neural circuits. While two- dimensional microfabrication strategies enable miniaturizing devices to access delicate nerve structures, creating 3D architecture for expansive implementation requires more accessible and scalable manufacturing approaches. Here we present a fabrication strategy through the control of metamorphic polymers' amorphous- crystalline transition (COMPACT), for hydrogel bioelectronics with miniaturized fiber shape and multifunctional interrogation of neural circuits. By introducing multiple cross- linkers, acidification treatment, and oriented polymeric crystalline growth under deformation, we observed about an \(80\%\) diameter decrease in chemically cross- linked polyvinyl alcohol (PVA) hydrogel fibers, stably maintained in a fully hydrated state. We revealed that the addition of cross- linkers and acidification facilitated the oriented polymeric crystalline growth under mechanical stretching, which contributed to the desired hydrogel fiber diameter decrease. Our approach enabled the control of hydrogels' properties, including refractive index (RI 1.37- 1.40 at 480 nm), light transmission ( \(>96\%\) ), stretchability ( \(95\% - 111\%\) ), and elastic modulus (10- 63 MPa). To exploit these properties, we fabricated step- index hydrogel optical probes with contrasting RIs and applied them in optogenetics and photometric recordings in the mouse brain region of the ventral tegmental area (VTA) with concurrent social behavioral assessment. To extend COMPACT hydrogel multifunctional scaffolds to assimilate conductive nanomaterials and integrate multiple components of optical waveguide and electrodes, we developed carbon nanotubes (CNTs)- PVA hydrogel microelectrodes for hindlimb muscle electromyographic and brain electrophysiological recordings of light- triggered neural activities in transgenic mice expressing Channelrhodopsin- 2 (ChR2).
+
+<--- Page Split --->
+
+## 1 Main
+
+Soft and elastic bioelectronics enable multifunctional interrogation of cell function from singlecell to organ- level resolution while providing tissue- like interfaces. In dynamically moving in vivo environments, such soft bio- interfaces can adapt to the persistent mechanical deformations of the living tissues, and consequently provide chronic, reliable access to biological systems. For the sophisticated yet delicate nervous system interfaces, elastic polymer materials, including polydimethylsiloxane (PDMS) \(^{1}\) , cyclic olefin copolymer elastomer (COCE) \(^{2}\) , polyurethane (PU) \(^{3}\) , alginate hydrogels \(^{4,5}\) , have been deployed as the suitably elastic substrate for multifunctional devices that enable neural optogenetics stimulation \(^{1,6,7}\) , electrophysiological recording \(^{8,9}\) , drug infusion \(^{10}\) and neurotransmitter detection \(^{11}\) . However, fabricating dedicated microstructures in soft and elastic devices is limited to 2D architectures and heavily relies on successive and sophisticated manufacturing approaches such as lithography \(^{12,13}\) and micro- printing \(^{14}\) .
+
+Thermal pulling yields multiple- step scaling- down feasibility for multifunctional polymer fibers \(^{10,15}\) ; however, this approach requires coherent parameters of the constituent materials, such as glass transition temperature \((T_{g})\) , melting temperature \((T_{m})\) and thermal expansion coefficients \((\alpha)\) to be drawn into an integrated fiber. Moreover, the high- temperature process narrows the selections of available polymers for high- water- content bioelectronics. Assisted with hydrogel cross- linking as a soft material matrix, hybrid multifunction fibers permit adaptive bending stiffness for long- term sensing and neural modulation \(^{4,16}\) .
+
+Besides mechanical stiffness change in the hydrated state and the desiccated state, hydrogel materials permit tunable volumetric control as the supporting scaffold. Employing hydrogel swelling behaviors in the solvated state, the expansion microscopy technique utilized hydrogel volumetric increase to enhance microimaging resolution for intact biological tissues \(^{17}\) . In contrast,
+
+<--- Page Split --->
+
+1 hydrogel shrinking behaviors in a desiccated state have been applied to densify patterned materials in volumetric scaffold deposition and obtain nanoscale feature sizes in three dimensions18,19. However, the hydrogel swelling and shrinking behaviors in these techniques are based on reversible polymer chains collapse in the desiccated state and expansion upon hydration. When applied to an aqueous in vivo environment, the shrunk hydrogels will expand and lose the miniaturized structures from the original manufacturing.
+
+Inspired by the volumetric change resulting from polymer chains' folding and expansion, we hypothesize that control of the amorphous- crystalline transition in semi- crystalline hydrogels can enable intervention in polymer chain folding and crystallization. Consequently, this process prevents polymer chains' expansion from their designed nanocrystalline structure in order to maintain hydrogels' volumes under a solvated state. Hydrogel bioelectronics, miniaturized by the polymeric crystallization approaches, can stably maintain their designed architectures in vivo.
+
+Here, we developed a set of cross- linking chemistry and micro- fabrication processes to control polymeric crystalline domain growth with cross- linked polyvinyl alcohol (PVA) hydrogels. A stable and tunable volumetric decrease of hydrogels was consistently achieved in a hydrated state under physiological conditions (pH 6- 8, 37 °C). Through acidification treatment that increases polymer chain mobility while introducing dual cross- linkers of the inorganic binder tetraethyl orthosilicate (TEOS) and the generic glutaraldehyde (GA), we minimized the polymetric crystalline scattering (crystal size around 3.5 nm) and increased the hydrogels' refractive indices (RI). Further nanocrystalline orientation induced by uniaxial deformation promoted the generation of nanoscale anisotropic architectures. This control of metamorphic polymers' amorphous- crystalline transition (COMPACT) strategy enabled a 79.7% diameter decrease of hydrogel fibers in the hydrated state while maintaining high stretchability (94.5% - 111.2%) and low elastic moduli
+
+<--- Page Split --->
+
+(9.7- 62.5 MPa). Since COMPACT hydrogels provide a variety of RI options, we developed corecladding hydrogel fibers with distinct RI contrast ( \(\mathrm{n}_{\mathrm{core}} = 1.40\) , \(\mathrm{n}_{\mathrm{cladding}} = 1.34\) ). These core-cladding structured hydrogel fibers were applied for concurrent photometry recordings from mouse brain ventral tegmental area (VTA) in the context of social interactions. Taking advantage of these tunable hydrogel matrix scaffolds, we loaded conductive nanomaterials, carbon nanotubes, into COMPACT hydrogels for hybrid microelectrodes. Integrated with an optical core, we produced multifunctional hydrogel optoelectronic devices for in vivo electrophysiological recording of optically triggered neural activities.
+
+## 9 Results
+
+## 10 COMPACT strategy for hydrogels controllable shrinking
+
+Chemically cross-linked PVA hydrogels have been widely employed with superior optical properties20, fatigue-resistance21, 22, and biocompatibility for bioelectronics applications23, 24. To further explore PVA hydrogels' controllable miniaturization properties while preserving these advantageous features, we designed new hydrogels fabrication approaches by control of metamorphic polymers' amorphous-crystalline transition (COMPACT) with the following aspects: (i) polymer chains folding and immobilization with multiple cross-linkers, (ii) intervention on intermolecular chain interactions in the hydrogel matrix, (iii) inducing the oriented growth of nanocrystalline domains. We implemented the COMPACT strategy following three major procedures to control individual polymer chain folding, polymer chain network interactions and nanocrystalline growth. We first introduced the hydrolysis of TEOS in PVA solutions through homogenization (Fig. 1a and Supplementary Note 1), followed by the addition of a generic cross-linker, GA. A combination of two types of cross-linkers is chosen to allow the control of polymer chain mobility via covalent bonding and parallel tuning of hydrogels' refractive index. We then
+
+<--- Page Split --->
+
+1 acidified the cross- linked hydrogels to promote intermolecular chain interactions and to facilitate 2 the formation of nanocrystalline domains in hydrogels. External mechanical stretching was applied 3 to the fully acidified hydrogels and maintained during the desiccating process. After the removal 4 of water molecules from hydrogels, high- temperature (100 °C) annealing was employed to further 5 promote the growth and orientation of the nanocrystalline domains. To test whether polymeric 6 nanocrystalline domains created through the COMPACT strategy can preserve hydrogels 7 volumetric shrinking under hydrated status, we next examined the dimensions and water fractions 8 of cross- linked hydrogels under pristine, desiccated, and re- hydrated states (Fig. 1b- e).
+
+9 We prepared fiber- shaped hydrogels via molding and extrusion methods (Supplementary Note 10 2). At the pristine (Fig. 1b) and desiccated states (Fig. 1c), the two hydrogel fibers with TEOS- 11 GA cross- linking (COMPACT+) and GA cross- linking (COMPACT-) exhibited comparable 12 geometries and water fractions (Fig. 1e); however, only the TEOS- GA cross- linked PVA hydrogel 13 fiber with acidification and mechanical stretching maintained the reduced diameters in the re- 14 hydrated state (Fig. 1d, e).
+
+15 After we confirmed that hydrogels retained shrinking behaviors in the re- hydrated state with 16 COMPACT treatment, we tested whether size reduction is dependent on the materials' geometries 17 and external constraints. We prepared hydrogels with the shapes of thin film, fiber, and block, and 18 examined the changes of COMPACT hydrogel film thickness (T, Fig. 1f), fiber diameter (D, Fig. 19 1g) and volume (V, Fig. 1h). TEOS- GA cross- linked PVA hydrogel thin films with acidification 20 treatment exhibited a thickness reduction ratio of \(93.4 \pm 3.6\%\) (pristine thickness: \(501 \pm 134 \mu \mathrm{m}\) ; 21 re- hydrated thickness: \(33 \pm 18 \mu \mathrm{m}\) ) under optical microscopy examination (Fig. 1f). TEOS- GA 22 cross- linked PVA hydrogel fibers, with applied acidification and mechanical strain (200%) 23 treatments, reached the maximum diameter shrinking ratio of \(79.7 \pm 2.3\%\) , by increasing the
+
+<--- Page Split --->
+
+1 content of the TEOS cross- linker (Fig. 1g). In three- dimensional free shrinking structures, we observed \(80.9 \pm 0.7\%\) volumetric shrinking in acidified TEOS- GA cross- linked cylinders as compared to pristine ones (Fig. 1h).
+
+4 We then investigated the mechanisms of the sustained hydrogel volume decrease and the design of amorphous and crystalline architectures. Fourier transform infrared spectroscopy (FTIR) results indicated covalent bonds (Si- O- Si and Si- OH) generated in the COMPACT hydrogel network (Fig. 1i). The new Si- O- Si (1080 cm \(^{- 1}\) ) and Si- OH (950 cm \(^{- 1}\) ) bonds came from hydrolyzed TEOS Si- OR groups' reactions with the hydroxyl groups on PVA chains. The generic cross- linker GA reactions were confirmed by the observation of C=O bond (1740 cm \(^{- 1}\) ) and the Si- O- C bond (1140 cm \(^{- 1}\) ) from the reaction with TEOS Si- OR groups. Besides confirming covalent bonds generated among hydrogel polymer chains, differential scanning calorimetry (DSC) results exhibited the change of polymer chain interactions and polymeric crystallinity after COMPACT treatment. Undissolved PVA powders showed \(28.4 \pm 3.5\%\) crystallinity (Fig. 1j and Supplementary Fig.2), similar to the reported crystallinity percentage of semi- crystalline PVA polymers \(^{25}\) . GA- cross- linked PVA hydrogels exhibited \(21.6 \pm 1.1\%\) crystallinity while the additional TEOS cross- linking, and acidification suppressed the polymer chain folding to form crystalline domains (crystallinity: \(12.7 \pm 1.5\%\) ). We further examined the nanocrystalline domains and orientation with X- ray scattering techniques. The size of PVA nanocrystals was measured as \(3.5 \pm 0.1\) nm while the nanocrystalline spacing increased from 8.4 nm to 10.2 nm after 200% axial stretching (Fig. 1k and Supplementary Fig. 2- 4). Wide- angle X- ray scattering (WAXS) 2D patterns suggested that the lamellae crystal domains were re- oriented along the axial stretching direction (Fig. 1k and Supplementary Fig. 4).
+
+## COMPACT hydrogel fibers' tunable properties
+
+<--- Page Split --->
+
+With COMPACT- enabled hydrated hydrogel size reduction, we expanded this methodology to develop a series of hydrogel fibers with controlled diameters and tunable optical and mechanical properties for biomedical use. We mapped a rational and comprehensive shrinking diagram by varying the content of inorganic cross- linker (TEOS), acidification, and external mechanical stretching (Fig. 2a). Generally, increasing cross- linking density with more cross- linkers yielded less ductile polymer chains with reduced dimension upon hydration. Acidification treatment dramatically boosted shrinking percentages across different cross- linking densities while mechanical static stretching further decreased hydrogel fibers in diameters \((79.7 \pm 2.3\%)\) . To fit COMPACT into a practical molding- extrusion fabrication process (Supplementary Note 2) \(^{26}\) , we examined a series of hydrogel fibers made with different sizes of silicone molds (Fig. 2b and Supplementary Fig. 5). Independent from the mold size, all COMPACT hydrogel fibers reached reduced diameters more than \(79\%\) , which is consistent with the shrinking diagram (Fig. 2a). As an example, using \(300 \mu \mathrm{m}\) (inner diameter, ID) silicone molds, thin hydrogel fibers were fabricated with diameters of \(80 \pm 4 \mu \mathrm{m}\) .
+
+Considering their fiber optic in vivo applications \(^{27}\) , we examined the optical, mechanical and biocompatible properties of COMPACT hydrogel fibers. To ensure efficient light transmission for optical stimulation and recordings, we considered two important parameters of the hydrogel fiber core: refractive index (RI) and light transmittance. We observed that hydrogels' refractive indices can be tuned by increasing TEOS contents. COMPACT hydrogels with 0 wt. \(\%\) to 4 wt. \(\%\) TEOS contents exhibited refractive indices ranging from 1.48 to 1.60 in the desiccated state (Fig. 2c) and 1.37 to 1.40 in the hydrated state (Supplementary Fig. 6a- b), which is comparable with the RI of other conventional polymer hydrogels \(^{28}\) . Although all the transmittance remained above \(96\%\) , increasing TEOS content also led to decreased transmittance (Fig. 2c and Supplementary Fig.
+
+<--- Page Split --->
+
+6c), and increased autofluorescence (17.8% increase of 4 wt.% TEOS hydrogels compared to 0 wt. % TEOS hydrogels, excitation wavelength: 485 nm, excitation peak: 520 nm, Supplementary Fig. 6d). The optimal TEOS content was chosen as 3 wt. %, which resulted in hydrogels with 1.54 \(\pm 0.01\) of refractive index (Fig. 2c), \(>96\%\) of transmittance ((Fig. 2c, for \(0.15 \pm 0.02 \mathrm{mm}\) thick membranes), and \(6.13 \pm 0.16\) relative fluorescent units (RFU)/mm of autofluorescence (for \(0.15 \pm 0.02 \mathrm{mm}\) thick membranes. water: 3.70 RFU/mm, Supplementary Fig. 6d).
+
+We then examined whether COMPACT hydrogels maintained tissue- like elasticity. COMPACT hydrogel fibers exhibited relatively low elastic moduli while maintaining high stretchability (Fig.2d and Supplementary Fig. 7a- b). The optimized COMPACT hydrogel fiber (3 wt. % TEOS, \(12 \mathrm{mM}\) HCl acidification treatment and \(200\%\) stretching, diameter: \(227 \pm 18 \mu \mathrm{m}\) ) exhibited an elastic modulus of \(34.03 \pm 7.38 \mathrm{MPa}\) . Compared to silica fibers ( \(\sim 20 \mathrm{GPa}\) elastic modulus) \(^{29}\) and polymer fibers ( \(\sim 1 \mathrm{GPa}\) elastic modulus) \(^{2,4}\) , COMPACT hydrogel fibers offer enhanced mechanical matching to the nervous tissues (1- 4 kPa) \(^{30}\) and lead to less neural tissue damage from micromotion involved in vivo studies \(^{31}\) .
+
+We then tested whether crystalline- enabled size reduction of COMPACT hydrogels can overcome the intrinsic hydrogel swelling exhibited upon hydration and maintain structural stability in vivo, we incubated COMPACT hydrogel fibers in ex vivo physiological conditions (pH: 6- 8, \(37^{\circ} \mathrm{C}\) , saline solution) and monitored fibers' dimension over time. We observed the shrinking percentage maintained above \(74\%\) over 3 months (Fig. 2e and Supplementary Fig. 8). Cytotoxicity tests with human embryonic kidney cells (HEK293) exhibited no significant cell death in the presence of COMPACT hydrogels (Fig. 2f and Supplementary Fig. 9).
+
+## Step-index hydrogel optical fibers
+
+<--- Page Split --->
+
+COMPACT hydrogels were first fabricated into step- index optical fibers (Supplementary Note 3). Increased RI contrast between optical core and cladding layers ensures light transmission and the consequent photodetection sensitivity (Fig. 3a). Based on tunable refractive indices of COMPACT hydrogels (Fig. 2c and Supplementary Fig. 6 a- b), we designed step- index hydrogel fibers with high- RI core (ncore=1.40) and low- RI cladding (ncladding=1.34).
+
+Hydrogel fibers were connected to a silica segment embedded in an optical ferrule, which provides a strong connection while preventing directly exposed hydrogel dehydration out of tissues and light loss (Supplementary Note 3). We validated the function of RI- contrasting core- cladding structures by comparing the light transmission between bare core fibers, step- index fibers with plain cladding and those with light- protective cladding (Fig. 3b- c, and Supplementary Note 3- 4). The bare core fibers (diameter of \(329 \pm 17 \mu \mathrm{m}\) ) exhibited a relatively high attenuation \((1.87 \pm 0.53 \mathrm{dB / cm})\) while introducing a thin low- RI cladding layer (thickness of \(84 \pm 4 \mu \mathrm{m}\) on the surface of \(372 \pm 10 \mu \mathrm{m}\) cores, \(n_{\mathrm{cladding}} = 1.34\) ) decreased the light transmission attenuation to \(1.75 \pm 0.08 \mathrm{dB / cm}\) (Fig. 3c). A representative light- absorption nanomaterial32,33, reduced graphene oxide (rGO) was loaded into low- RI cladding to further protect light leakage from fibers' lateral surface and consequently reduced the light attenuation to \(0.94 \pm 0.25 \mathrm{dB / cm}\) (core \(339 \pm 35 \mu \mathrm{m}\) , cladding: 36 \(\pm 11 \mu \mathrm{m}\) of 5 wt.% PVA with 0.21 wt.% rGO) (Fig. 3c and Supplementary Fig. 10).
+
+To validate their functionality for in vivo optical interrogation, we tested COMPACT hydrogel fibers with fiber photometric recording in the context of mouse social behaviors. Activation of VTA region and its related circuits has been studied with various techniques, including optogenetics34, electrical stimulation and chemogenetics35, related to social behaviors in mice36. As a proof- of- concept application, we applied COMPACT hydrogel fibers to record mouse deep brain structure, VTA, with concurrent social behavior observation. We unilaterally implanted
+
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+COMPACT optical fibers \((580 \pm 35 \mu \mathrm{m})\) in VTA after injecting of adeno- associated virus (AAV) containing genetically encoded calcium indicator \((hSyn::GCaMP6s)\) (Fig. 3e). A home- built fiber photometry system (wavelengths: \(\lambda_{\mathrm{isosbestic point}} = 405 \mathrm{nm}\) , \(\lambda_{\mathrm{excitation}} = 470 \mathrm{nm}\) , \(\lambda_{\mathrm{emission}} = 510 \mathrm{nm}\) ) based on the previous design was used to collect GCaMP fluorescent change as a proxy to reflect the neural activity37 (Fig. 3g and Supplementary Fig. 13). We utilized the stiffness change of hydrogel fibers from a desiccated state (stiff) to a hydrated state (soft) and implanted the hydrogel fiber in the desiccated state with calibrated coordinates (Supplementary Figure. 11- 12). After an incubation period of 4 weeks for AAV virus expression, we subjected mice to a social behavioral test with concurrent photometric recordings. Mouse social interactions were analyzed with DeepLabCut markless pose estimation and a custom- developed MatLab algorithm (Fig. 3f). We found that increased fluorescent intensity of GCaMP was correlated with mouse social interaction epochs (Fig. 3h).
+
+## COMPACT multifunctional hydrogel neural probes
+
+Hydrogel matrix can support various nanoscale materials to extend the functionalities while maintaining desired mechanical properties35, 38. To enrich hydrogel neural probes' modality for electrical recordings, we incorporated conductive carbon nanotubes (CNTs, \(12 \pm 6 \mathrm{nm}\) diameter) into PVA hydrogel scaffolds during hydrogel cross- linking (Fig. 4a and Supplementary Note 5). Acidification and mechanical stretching facilitated CNT plaiting into polymer matrices and ensured entanglement with PVA chains and consequently augmented electrical conductivity as a percolated network39, 40. CNTs- PVA hydrogel electrodes ( \(86 \pm 5 \mu \mathrm{m}\) diameter) exhibited stable impedances of \(658 \pm 277 \mathrm{k}\Omega\) at \(1 \mathrm{kHz}\) (PBS, \(25^{\circ} \mathrm{C}\) , Fig. 4c and Supplementary Fig. 15) and impedance was tunable with designed mold sizes and CNT loadings (Fig. 4d and f). CNTs- PVA hydrogel electrodes were insulated with a viscoelastic coating of styrene- ethylene- butylene-
+
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+1 styrene (SEBS) (Supplementary Note 5 and Supplementary Fig. 16). To verify the stability of CNTs- PVA hydrogel electrodes, we incubated them in PBS solutions and characterized the impedance over 6 weeks (Fig.4e). No significant increase of impedance at 1kHz was found.
+
+4 Then we deployed CNT- PVA hydrogel electrodes for electromyographic (EMG) recordings of mouse hindlimb muscles in response to the pulsed blue light illumination. CNT- PVA hydrogel electrodes detected hindlimb muscle electrical signals upon transdermal optical stimulation (wavelength \(\lambda = 473 \mathrm{nm}\) , \(200 \mathrm{mW / mm}^2\) , \(0.5 \mathrm{Hz}\) , pulse width \(50 \mathrm{ms}\) ) in Thy1::ChR2- EYFP mice, which express photo- excitatory opsin, Channelrhodopsin 2 (ChR2), in the nervous system (Fig. 4f). EMG signals exhibited repeatable amplitude and signal- to- noise ratios, which indicates the reliability of CNT- PVA hydrogel microelectrodes.
+
+11 When extending hydrogel miniaturization from bulk materials to interfaces, the COMPACT strategy offers a new avenue for multiple components integration. Since RI- distinct core- cladding structures ensure light transmission in optical cores, we introduced two CNT- PVA electrodes into the cladding layers with a COMPACT hydrogel core (Fig. 4b). A hydrogel optoelectrical device (optrode), is designed to enable optical modulation with simultaneous electrophysiological recording (Supplementary Note 6). In Thy1::ChR2- EYFP mice, blue light pulses ( \(\lambda = 473 \mathrm{nm}\) , \(0.5 \mathrm{Hz}\) , pulse width \(50 \mathrm{ms}\) , \(10 \mathrm{mW / mm}^2\) ), delivered through the hydrogel optical core, consistently activated ChR2- expressing neurons in VTA while the neural electrical signals were collected through CNT- PVA electrodes (Fig. 4l). The optical evoked potentials were repeatedly captured with correlation with the onset of light stimulation over two weeks post- implantation.
+
+## 21 Discussion
+
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+
+1 In this study, we developed a set of hydrogel cross- linking chemistry and fiber- shaped device 2 microfabrication approaches through a bottom- up strategy of tuning polymers' amorphous- 3 crystalline transition for hydrogel bioelectronics miniaturization and integration. COMPACT 4 provides an accessible, scalable, and controllable fabrication method for micro- structured hydrogel 5 fibers as small as \(80 \mu \mathrm{m}\) with consistently low asperity. These hydrogels provide a platform for 6 functionally augmented interfaces through loadings of additional nanomaterials. COMPACT 7 hydrogels can be further designed into step- index optical probes and optoelectronic devices 8 (optrodes) which are well- suited for neural modulation and recordings concurrent with behavioral 9 assays in mice.
+
+10 Unlike established approaches to shrink hydrogels via desiccation, where collapse of polymer 11 chain during drying leads to reversible swelling upon hydration, COMPACT hydrogels' 12 polymetric nanocrystalline and enhanced interpolymer chain interactions maintained stable 13 folding in the hydrated state and therefore permit retained volumetric size reduction. Over 3 14 months of incubations under physiological temperature and osmolarity, the shrunk COMPACT 15 hydrogel fibers maintained the designed diameters within less than \(1\%\) variance (Fig. 2e), which 16 illustrates COMPACT bioelectronics' volumetric stability of their miniaturized size in vivo. In 17 contrast, COMPACT hydrogel fibers incubated at PVA dissolution temperature (100 \(^\circ \mathrm{C}\) ) in water 18 for several hours resumed their pristine swollen size; this volume reversion demonstrates the 19 crystalline impact on size reduction through control of local free volume in hydrogel matrices. 20 This crystalline- dominated hydrogel miniaturization phenomenon can be extended to other semi21 crystalline polymers at different material interfaces, where volumetric stability is important, such 22 as the proton- exchange membrane in packed fuel cells.
+
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+In COMPACT hydrogels, chemical cross-linkers and acidification treatment both contribute to the retained volumetric decrease upon re- hydration while mechanical deformation induced the orientated nanocrystalline growth. An increased number of chemical cross- linkers, TEOS (0 wt.% to 4 wt.%, Fig. 1g), enhanced the anchoring of amorphous PVA chains through covalent cross- linking and prevent swelling in the hydrated state. Under the same cross- linking degree, acidification treatment granted polymer chains enhanced interactions and suppressed crystallinity (Fig. 1j and Supplementary Fig. 1 and 7c). Nanocrystalline domains maintained the nanoscale size ( \(\sim 3.5 \mathrm{nm}\) ) without compromising the transmittance in the visible range. Axial mechanical deformation re- orientated nanocrystalline and created anisotropic nanostructures (Fig. 1k), which enabled hydrogel fibers' desired decrease in diameter while causing a minimal effect on crystallinity degree (Supplementary Fig. 1c) or nanocrystalline size (Fig. 1k).
+
+Controllable hydrogel shrinking provides an effective methodology for miniaturization and integration for neural probe fabrication. The molding and extrusion approaches offer a series of precisely controlled hydrogel fiber diameters with structural homogeneity and low surface asperity to avoid diffuse reflection at the hydrogel interfaces. COMPACT hydrogel fibers' tissue- like mechanical properties exhibit improved immune response compared to stiff silica fibers (Fig. 2d and Supplementary Fig. 14). Although the mold sizes are commercially limited, COMPACT procedures, including regulating polymer and crosslinker constituent content and fiber extensions can expand the range of available fiber sizes. Successive rounds of molding with strong polymer chain infiltration at the interfaces enable the design of multimodal microstructures, including core- cladding (30- 80 \(\mu \mathrm{m}\) ) in step- index optical probes and electrode integration in the cladding layer of optrodes. Currently, the number of integrated components, such as electrodes and microfluidic channels, is limited by the coaxial alignment in the secondary molding step; the accessibility and
+
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+
+1 throughput of multimodal fabrication can be further improved with guiding devices to facilitate 2 integration and alignment, or alternative coating approaches.
+
+3 COMPACT strategy is generalizable for soft and stretchable bioelectronics. Polymer matrices 4 provide sufficient free volume for water access as well as nanomaterials' incorporation. High 5 aspect- ratio nanomaterials, such as silver nanowires and carbon nanotubes, can be effectively 6 entangled with polymer chains through cross- linking and condensation during acidification and 7 stretching. This procedure augments electrical conductivity while maintaining viscoelasticity. The 8 colloidal stability of nanomaterials in viscous polymer precursor solutions is important to create a 9 homogeneous composite after cross- linking to prevent phase separation and ensure stable electrical 10 conductivity.
+
+11 Compared to other soft bioelectronics fabrication approaches, such as lithography and micro- 12 printing, COMPACT technique offers scalable and efficient multimodal hydrogel fibers 13 manufacturing without the need for expensive and sophisticated facilities. COMPACT 14 multifunctional neural probes have been employed for bi- directional optical interrogation 15 concomitant with mouse social behaviors and electrical recordings of light- triggered neural 16 activity in mice. Extended functionalities, such as drug or viral vector delivery, can be further 17 achieved by integrating additional microfluidic channels in the cladding layer and retains light 18 transmission efficiency in the optical core. COMPACT multifunctional neural probes involve 19 independent components alignment and miniaturization steps, which potentiates the integration of 20 multiple components with various lengths to target multiple depths of tissue within single- step 21 implantation. This adaptability will increase the density of functional interfaces and overcome the 22 traditional limitation of fiber- shaped neural probes with single- target interfaces at the tip.
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+1 Control over semi- crystalline polymers' amorphous- crystalline transition creates a direct fabrication methodology for elastic soft materials. Extending it to the manufacture of sophisticated optoelectronic devices, the COMPACT strategy imparts a generalizable and modular platform for hydrogel bioelectronics' miniaturization and integration, which consequently enables multimodal interrogation of complex biological systems.
+
+## 7 Methods
+
+8 Hydrogel synthesis. The chemicals used in this study included tetraethyl orthosilicate (TEOS, 9 Sigma- Aldrich 86578, \(99\%\) ), hydrochloric acid (HCl, Sigma- Aldrich, 258148, \(37\%\) ), glutaraldehyde solution (GA, Sigma- Aldrich G6257, \(25\%\) in water), and polyvinyl alcohol (PVA) with an average molecular weight of 146,000 to 186,000 Da and \(99 + \%\) hydrolyzed (Sigma- Aldrich, 363065). MilliQ water with a resistivity of \(18 \mathrm{M}\Omega \cdot \mathrm{cm}\) at \(25^{\circ}\mathrm{C}\) was used throughout the experiments. To prepare the PVA (10 wt. \(\%\) ) solution, PVA was dissolved in MilliQ water and stirred in a water bath at \(100^{\circ}\mathrm{C}\) for at least 4 hours until a clear and transparent solution was obtained. The hydrolysis of TEOS was carried out using HCl as a catalyst in PVA solutions with a molar ratio of TEOS: HCl: \(\mathrm{H2O} = \mathrm{x}\) : 4: y, where x was between 1 to 4, and y started from 4 to 16. TEOS solutions with concentrations ranging from 2 wt.% to 8 wt.% were added to the PVA solutions, which were then homogenized at two different levels. A mixture of HCl and MilliQ water in a molar ratio of 4: y, where y was in the range of 4 to 16, was added dropwise to the PVA- TEOS emulsion while homogenizing at 12000 rpm using a portable homogenizer until a stable emulsion was formed. The resulting emulsion was further homogenized using a high- speed homogenizer (FSH2A lab). The mixed solutions were stirred in a water bath at \(100^{\circ}\mathrm{C}\) for 1 hour
+
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+
+until transparent solutions were obtained, followed by an additional 12 hours of stirring at \(60^{\circ}\mathrm{C}\) .
+
+The composition of all solutions used in this study is provided in Table 1.
+
+Table.1. TEOS and PVA concentrations of PVA-TEOS solutions
+
+| TEOS: HCl: H2O (molar ratio) | TEOS wt.% in pre-solutions | HCl wt.% in solutions | PVA wt.% in solutions |
| 1: 4: 4 | 2 | 0.014 | 10 |
| 2: 4: 8 | 4 | 0.014 | 10 |
| 3: 4: 12 | 6 | 0.014 | 10 |
| 4: 4: 16 | 8 | 0.014 | 10 |
+
+3
+
+4
+
+Optical hydrogel probe fabrication. A step-index multimode silica fiber (core diameter 400 μm,
+
+NA 0.5, Thorlabs FP400URT) was prepared by removing the protective coating using a fiber
+
+stripping tool (Micro-strip, Micro Electronics, Inc). The stripped fiber was then divided into 13-
+
+mm segments using a diamond cutter. These fiber segments were inserted and extruded from one
+
+end of an optical ferrule (bore diameter 400 μm, Thorlabs CFX440-10) with a length of 2.5 mm
+
+and secured with EccoBond F adhesive (Loctite). Both ends of the silica fibers in the ferrules were
+
+polished using a polish kit (Thorlabs D50-F, NRS913A, and CTG913). The light transmission of
+
+all silica fibers and ferrules was tested by coupling with a 470 nm blue light-emitting diode (LED)
+
+(Thorlabs M470F3) after polishing. To remove the plastic coatings on the extruded silica fibers,
+
+they were treated with 2M sodium hydroxide solution (Sigma-Aldrich, 1064980500) for 2 hours
+
+followed by an additional treatment with chloroform (Sigma-Aldrich, 472476) for 30 minutes. A
+
+thin layer of 10 wt.% PVA was then coated on the extruded silica fibers via dip coating, and the
+
+PVA-coated silica fibers were air-dried at room temperature for 12 hours and annealed at 100 °C
+
+for 2 hours. A vacuum planetary mixer (Musashi ARV-310, 2000 rpm, and 16 kPa vacuum) was
+
+utilized for the mixing and degassing of all solutions. For degassing and mixing, 100 μL of GA
+
+was added to 10 g of 10 wt.% PVA pre-solution and agitated for 1 minute. 10 g of pre-made PVA-
+
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+1 TEOS solution was also degassed and mixed for 1 minute. Subsequently, the above two solutions were combined (weight ratio of 1:1) and mixed for another minute. The resulting PVA-TEOS-GA solution was infused into silicone tubes (McMaster-Carr 5236k204, 80 mm in length), and the optic ferrules were inserted into the silicone tubes, with the silica fiber end connected to the PVA mixture. After curing at room temperature for 4 hours, the PVA-TEOS-GA fibers were demolded using dichloromethane (DCM, Sigma-Aldrich, 270997, 99.8%) and washed with a large amount of water to remove residual chemicals for two days. Ferrule-connected fibers were air-dried at room temperature for 12 hours and annealed at \(100^{\circ}\mathrm{C}\) for 20 minutes. Finally, the hydrogel fibers were rehydrated with MilliQ water before use. The compositions of all fabricated fibers are listed in Table 2.
+
+Table.2. TEOS and PVA concentrations in PVA-TEOS-GA fibers
+
+| Nomenclature | TEOS: HCl: H2O (molar ratio) | TEOS wt.% in fibers | HCl wt.% in fibers | GA wt.% in fibers | PVA wt.% in fibers |
| 10P-1T-GA | 1: 4: 4 | 1 | 0.007 | 0.005 | 10 |
| 10P-2T-GA | 2: 4: 8 | 2 | 0.007 | 0.005 | 10 |
| 10P-3T-GA | 3: 4: 12 | 3 | 0.007 | 0.005 | 10 |
| 10P-1T-GA | 4: 4: 16 | 4 | 0.007 | 0.005 | 10 |
+
+11
+
+Core-cladding optical probe fabrication. A vacuum planetary mixer (Musashi ARV- 310, 2000 rpm, and \(16\mathrm{kPa}\) vacuum) was employed for mixing and degassing of all solutions. The optical fiber probes were first dried and then re- inserted into silicone tubing (McMaster- Carr 51845K66) and reswelled in water. For the preparation of the core- cladding optical fiber probes, \(100\mu \mathrm{L}\) of GA was added to \(10\mathrm{g}\) of \(5\mathrm{wt.\%}\) PVA pre- solution, which was then degassed and mixed for 1 minute. Additionally, \(150\mu \mathrm{L}\) of HCl was added to \(10\mathrm{g}\) of \(5\mathrm{wt.\%}\) PVA pre- solution, which was also degassed and mixed for 1 minute. The two solutions were combined (weight ratio of 1:1) and mixed for 1 minute. The resulting mixed solution was infused into the silicone tubing and allowed
+
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+1 to cross- link for 4 hours at room temperature. The core- cladding optical fiber probes were extruded by immersing them in DCM and stored in MilliQ water until further use.
+
+3 XRD characterization of hydrogel materials. X- ray scattering measurements were conducted using the SAXSLAB GANESHA 300XL instrument, equipped with a Dectris Pilatus 300K 2D CMOS photon counting detector (size: \(83.8 \times 106.5 \mathrm{mm}^2\) ). A small- angle \(2 \mathrm{mm}\) beamstop was utilized for SAXS measurements, while a wide- angle \(2 \mathrm{mm}\) beamstop was employed for WAXS measurements. The exposure time was set at 600 seconds. The average size of the nanocrystalline domain was determined using Scherrer's equation, which is expressed as \(D = \frac{k\lambda}{\beta \cos \theta}\) , where \(k\) is a dimensionless shape factor that varies based on the actual shape of the nanocrystalline domain ( \(k = 1\) , approximating the spherical shape of the nanocrystalline domains), \(\lambda\) is the wavelength of X- ray diffraction ( \(\lambda = 1.54 \mathrm{\AA}\) ), \(\theta\) is the peak of the Bragg angle, and \(\beta\) is the full width at half maximum (FWHM) of the WAXS peaks. The d- spacing between nanocrystalline domains was calculated using \(d = \frac{2\pi}{q_{max}}\) , where \(q_{max}\) is the q value at its maximum intensity from SAXS patterns. The FWHM ( \(\beta\) ) and \(q_{max}\) were obtained by curve fitting of the WAXS and SAXS patterns, respectively, in Origin software (OriginLab Corporation).
+
+DSC characterization of hydrogel materials. The degree of crystallinity of hydrogel fibers and materials was assessed using a DSC instrument (2920 TA instrument). The PVA hydrogels were analyzed in the desiccated state. A small quantity of sample (1- 15 mg) was loaded into a crucible (TA instrument T81006) and inserted into a temperature- controlled DSC cell. A blank crucible served as a reference. The sample was heated from \(30^{\circ}\mathrm{C}\) to \(300^{\circ}\mathrm{C}\) in air, with a heating rate of \(20^{\circ}\mathrm{C / min}\) . The differential heat flow to the sample and reference was recorded by the instrument.
+
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+1 To determine the melting fusion enthalpy of endothermic peaks, heat flow (mW) over sample weight (mg) was plotted against time (s). The areas of melting endothermic peaks were integrated using TA analyze software (TA Universal Analysis). The degree of crystallinity \(\alpha\) was estimated using the equation: \(\alpha = \frac{\Delta H_m}{\Delta H_m} \cdot 100\%\) , where \(\Delta H_m\) (J/g) was calculated from the integration of melting endothermic peaks and \(\Delta H_m\) (150 J/g) was the enthalpy of melting 100% of PVA crystallites. The crystallinity outcomes of PVA samples are presented in Supplementary Table 1.
+
+8 Hydrogel Refractive Index Measurement. A series of hydrogel membranes were prepared via spin coating using a spin coating instrument (SETCAS, KW- 4A) on silicon (Si) substrates (University Wafer, Inc., Model 447). The Si substrates were cut into square wafers (13.5 mm x 17.5 mm) using a diamond cutter and then subjected to a rigorous cleaning process. The cleaning process involved washing and ultrasonication in Acetone (Sigma- Aldrich 179124, 99.5%) for 3 minutes, followed by rinsing with MilliQ water. The Si wafers were then washed and ultrasonicated in 30 wt.% \(\mathrm{H}_2\mathrm{SO}_4\) solution (Fisher Chemical 210524, 95.0%) for 3 minutes, followed by rinsing with MilliQ water. Finally, the Si wafers were washed and ultrasonicated in 10 wt.% of \(\mathrm{H}_2\mathrm{O}_2\) solution (Sigma- Aldrich 216763, 30 wt.% in water) for 3 minutes, followed by rinsing with 95% ethanol (Fisher Chemical A962P4, 95.0%). The Si wafers were mounted on the spin coater and coated with 10P- GA, 10P- 1T- GA, 10P- 2T- GA, 10P- 3T- GA, and 10P- 4T- GA membranes (n=4 for each group) at 1000 rpm for 10s, and at 5000rpm 50s. PVA solutions used for the membranes were prepared using the same method as discussed previously. After spin- coating, the PVA membrane- coated Si wafers were allowed to cross- link and dry in the air for at least 12 hours and then annealed at 100 °C for 20 minutes. The refractive index (RI) of the PVA membrane- coated Si wafers was measured using an ellipsometer (J.A. Woollam RC2) in the range
+
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+
+of \(400\mathrm{nm}\) to \(700\mathrm{nm}\) . The measurements were carried out on the membranes in their desiccated states. A series of COMPACT hydrogel membranes (0- 4 wt. \(\%\) TEOS) were prepared using a similar procedure as described above but using a rectangular mold \((21.5\times 21.5\times 1\mathrm{mm})\) . The membranes were demolded after cross- linking, dried at room temperature for 12 hours, and cut into small sheets \((2\times 2\mathrm{mm})\) . The sheets were then annealed at \(100^{\circ}\mathrm{C}\) for 20 minutes and reswelled in MilliQ water for 1 hour. The RI of the membranes in their hydrated states was measured using a refractometer (Sper Scientific 300034) with water used for calibration.
+
+Hydrogel Absorbance and Fluorescence Measurement. A set of hydrogel membranes (designated as 10P- GA, 10P- 1T- GA, 10P- 2T- GA, 10P- 3T- GA, and 10P- 4T- GA, comprising 4 replicates for each group) were synthesized and cross- linked in a 96- well plate using established techniques. Subsequently, \(1\mathrm{mL}\) of PVA solution was added to each well and allowed to cross- link and air dry for at least 12 hours, followed by annealing at \(100^{\circ}\mathrm{C}\) for 20 minutes. Rehydration of the membranes was achieved by the addition of \(100\mu \mathrm{L}\) of MilliQ water to each well. To obtain transmittance spectra in the range of \(400\mathrm{nm}\) to \(700\mathrm{nm}\) , the 96- well plate was subjected to analysis using a plate reader (Biotek Synergy 2). Autofluorescence measurements were acquired using excitation/emission wavelengths of \(470\mathrm{nm} / 510\mathrm{nm}\) and \(485\mathrm{nm} / 520\mathrm{nm}\) , respectively. Membrane thickness was determined by caliper measurements and recorded three times to normalize the transmittance spectra and autofluorescence readings with respect to thickness. A blank control consisting of \(200\mu \mathrm{L}\) of MilliQ water was included for comparison purposes.
+
+Mechanical characterization of hydrogel fibers. To ensure consistency, all hydrogel fibers were hydrated prior to the extension test. Tensile tests were conducted using a tensile instrument
+
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+
+equipped with a 50N load cell (Stable Micro System TA, XT plusC). The fibers were stretched at a constant rate of 1 mm/second. The nominal stress was calculated from the formula \(\sigma = \frac{F}{A}\) , where \(F\) represents the force measured by the instrument, and \(A\) represents the cross-sectional area of the fibers in their hydrated state. The strain was calculated using \(\epsilon = \frac{\Delta L}{L}\) , where \(\Delta L\) represents the displacement and \(L\) represents the initial gauge length. Two marks were labeled on the fibers using a sharpie pen to determine the initial gauge length \(L\) prior to the tensile test. A high-resolution camera was used to capture the entire tensile process and track displacement. The stress-strain curve was generated based on the calculated nominal stress and strain. The elastic moduli (E) were determined by calculating the average slope of the stress-strain relationship in the first \(10\%\) of applied strain. The average slope was determined by linear regression analysis (OriginLab Corporation). The stretchability of the fibers was reported as a percentage of the strain at the fracture point obtained from the stress-strain curves.
+
+13
+
+Light attenuation of hydrogel fibers. The light transmission loss of hydrogel fibers was tested by the cutback method. Ferrule- connected hydrogel fibers were inserted into a plastic tube (5 cm in length and 3 mm in diameter) and injected with 1 wt.% agar gel to maintain their hydrated state. The ferrule was connected to a 470 nm LED light (Thorlabs M470F3) via an adaptor (Thorlabs SM1FCM). The power (in dB) of transmitted light through the hydrogel fiber was measured using a power meter (Thorlabs, PM16- 122). The original power reading was recorded, and a 5 mm interval of cutting was adapted. Starting from the far end of the ferrule, the output power was measured after each cut using a cutter. The attenuation coefficient \((\alpha)\) was calculated using the formula \(\alpha = (\frac{10^{4}}{L_{1} - L_{2}}) \cdot \log (\frac{P_{1}}{P_{2}})\) , where \(L_{1}\) and \(L_{2}\) represent the original and cut lengths of the fiber
+
+<--- Page Split --->
+
+in meters, respectively. \(P_{I}\) and \(P_{2}\) are the transmitted power readings before and after the cut, respectively.
+
+Dimension measurements of hydrogel fibers. Microscopic images of hydrogel fibers were captured using a bright field mode microscope (AmScope) in MilliQ water. Three distinct regions of each fiber, namely two ends and the middle part, were imaged. The diameter of each fiber was measured using ImageJ software, with nine measurements taken for each fiber. The length of the fibers was measured using a caliper, with three measurements taken for each fiber.
+
+SEM imaging. SEM was performed on dried samples using an FEI Magellan 400 XHR instrument. To analyze the cross- sectional morphology of the integrated hydrogel optrode probe, the probe was sectioned into thin pillars (0.1 mm in height) and subsequently mounted on carbon tape for imaging.
+
+TEM imaging. The TME images were acquired under a transmission electron microscope (FEI Tecnai 12). The carbon nanotubes were diluted (1:10) in MilliQ water and deposited on a copper grid (Sigma- Aldrich, FCF200- Cu) for imaging.
+
+Stability tests of hydrogel fibers. The fabricated COMPACT hydrogel fibers (3 wt.% TEOS) were incubated at \(37^{\circ}\mathrm{C}\) under physiological- like solutions (saline, ionic strength 305\~310 mOsm, pH from 6.0 to 8.0) over 3 months to validate the stability of hydrogel materials. The dimensions of fiber were measured before and after the incubation and statistical analysis was performed on the dimensions between pre- incubation and post- incubation each week.
+
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+2 Cell culture and biocompatibility tests. The HEK 293FT cell line was maintained in DMEM (with GlutaMax, Sigma Aldrich, D5796) \(+10\%\) fetal bovine serum and seeded in a 24- well plate. COMPACT hydrogel fibers (3 wt.% TEOS) were incubated in DMEM for 24 hours at 37 \(^\circ \mathrm{C}\) . Hydrogel- incubated DMEM was then added to the well plate and incubated for 24 hours. Calcein- AM (green, \(2\mu \mathrm{L}\) of \(1\mathrm{mg / mL}\) per well, Sigma- Aldrich 17783) was added to indicate living cells, and ethidium homodimer- 1 (red, \(2\mu \mathrm{L}\) of \(1\mathrm{mg / mL}\) per well, Sigma- Aldrich 46043) was added to indicate dead cells. A fluorescent microscope (Nikon TiU with SOLA Light Engine Gen III illumination hardware and PCO panda sCMOS camera) was used to take images of cells with and without hydrogel incubation. Image J was utilized to count living cells and dead cells. Cell death rate \((\%)\) was calculated by using the formula: \(death rate (\%) = \frac{dead \text{ cell numbers}}{total \text{ cell numbers}} \cdot 100\%\) .
+
+19 Virus package. pAAV- hSyn- GCaMP6s- WPRE- SV40 was a gift from The Genetically Encoded Neuronal Indicator and Effector Project (GENIE) and D. Kim (Addgene viral preparation no. 100843- AAV9). AAV9- hSyn- GCaMP6s were prepared in Rao Lab at UMass Amherst with Beckman Coulter Ultracentrifuge Optima XL70 with VTi 50.1 rotor. Before use, the viral vector was diluted to a titer of \(10^{12}\) transducing units per milliliter.
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+Animals. All animal surgeries were reviewed and approved by the Committee on Animal Care at the University of Massachusetts Amherst. Wild- type (C57BL/6J) mice and Thy1::ChR2- EYFP mice were purchased from the Jackson Laboratory. Mice were given ad libitum access to food and water and were housed at \(24^{\circ}\mathrm{C} \pm 1^{\circ}\mathrm{C}\) , with \(50\%\) relative humidity, and on a 12- h light/12- h dark cycle. All experiments were conducted during the light cycle.
+
+7
+
+In vivo hydrogel optical fiber implantation into the mouse brain. C57BL/6J mice were anesthetized using \(1.0\%\) isoflurane administered in a chamber and subsequently secured onto a stereotactic frame (RWD Life Science) with a heating pad to maintain their body temperature. All surgical procedures were conducted in sterile conditions with \(1\%\) isoflurane used to maintain anesthesia. The Allen Brain Atlas was used to align the skull and determine the coordinates for viral injection and fiber implantation, specifically targeting the ventral tegmental area (VTA) at coordinates AP: - 2.95 mm, ML: \(\pm 0.50 \mathrm{mm}\) , DV: - 4.80 mm. An opening was made in the skull using a micro drill (RWD Life Science) at the designated coordinates. A total of \(600 \mathrm{nL}\) of adenosassociated virus (AAV) carrying hSyn::GCaMP6s was injected into the target region via a micro syringe and pump (World Precision Instruments, Micro 4). The viral injection device was held in place in the VTA region for 15 minutes to facilitate virus diffusion. Following fiber probe insertion, the probes were lifted by \(0.1 \mathrm{mm}\) to accommodate for the viral volume. Finally, the fiber probes were secured to the skull using an adhesive (Parkell, C&B METABOND) and reinforced using dental cement (Jet Set- 4). The mice were monitored on the heating pad following removal of isoflurane until they were fully awake.
+
+<--- Page Split --->
+
+In vivo optrode device implantation into the mouse brain. Thy1::ChR2- EYFP mice were anesthetized with \(1.0\%\) isoflurane and placed on a stereotactic frame (RWD Life Science) equipped with a heating pad to maintain body temperature. Surgery was conducted under sterile conditions, and \(1\%\) isoflurane was continuously administered to maintain anesthesia. Allen Brain Atlas was utilized to align the skull and establish optrode device coordinates (VTA, AP: - 3.00 mm, ML: + (or - ) 0.45 mm, DV: - 4.80 mm) based on the mouse brain atlas. Prior to optrode implantation, a ground screw was implanted (AP: - 3.50 mm, ML: - (or +) 1.50 mm, DV: - 0.20 mm) and cerebrospinal fluid was contacted with the screw. The optrode devices were fixed on the skull with adhesive (Parkell, C&B METABOND) and reinforced with dental cement (Jet Set- 4). Following the removal of isoflurane, the mice were monitored on the heating pad until fully awakened.
+
+Fiber photometry recording. Following a four- week recovery period, hSyn::GCaMP6s injected mice were tethered to a fiber photometry (FIP) system using a silica fiber (with a core diameter of \(400 \mu \mathrm{m}\) and a numerical aperture of 0.5, Thorlabs FP400URT). The silica fiber was connected to the FIP system using an adaptor (Thorlabs SM1SMA), and a ferrule (Thorlabs CF440) was fixed to the other end of the fiber. The ferrule was coupled to the implanted fiber probe using a connecting sleeve (Thorlabs ADAF1). The mice were placed in a custom- made chamber \((20 \times 20 \times 20 \mathrm{cm})\) for social preference tests, and fluorescent signals were computed using custom- written Python code. To excite the fluorescent signal, a custom setup consisting of a \(470 \mathrm{nm}\) LED (Thorlabs M470F3), a \(405 \mathrm{nm}\) LED (Thorlabs M405F3), and dichroic mirrors (Thorlabs DMLP425R) were used. Illumination periods were determined by detecting synchronization ON/OFF pulses for each LED, with each illumination containing pulses at \(10 \mathrm{Hz}\). To eliminate moving artifacts, the fitted \(470 \mathrm{nm}\) signals were subtracted from the fitted \(405 \mathrm{nm}\) signals.
+
+<--- Page Split --->
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+Social behavioral assay. For all behavioral experiments, adult C57BL/6 mice implanted with optical fiber probes were utilized during the dark phase of the light/dark cycle and were given at least 30 minutes of acclimatization in the behavior chamber before testing. Adult male C57BL/6 mice aged 5- 6 weeks were used as strangers, and tests were performed in a dark environment. A chamber box \((20 \times 20 \times 20 \mathrm{cm})\) containing a social cage was utilized for social interactions. Subsequently, a novel mouse was introduced to the social zone, and the test mouse was exposed to the novel mouse and allowed to interact freely. Concurrently, GCaMP fluorescence changes were recorded during social tests. A dark- vision camera was installed above the social chamber to record video footage during the social tests. The time spent interacting and the distance of social interaction were analyzed using customized algorithms for social interaction assessment with DeepLabCut. The analyzed social interaction epochs were then correlated with GCaMP signals.
+
+Immunohistology. The mice were euthanized using fatal plus (Vortech Pharmaceuticals, LTD) and transcardiac perfusion was carried out using \(20 \mathrm{mL}\) of PBS (Sigma- Aldrich P3813) solution followed by \(20 \mathrm{mL}\) of \(4\%\) paraformaldehyde (PFA, Sigma- Aldrich 8187151000) solution. The brains were then dissected from the bodies and fixed in \(4\%\) PFA solution at \(4^{\circ} \mathrm{C}\) overnight. After fixation, the brain tissues were treated with \(30\%\) sucrose in PBS for 2 days and subsequently frozen at \(- 20^{\circ} \mathrm{C}\) in an O.C.T. cube \((21.5 \times 21.5 \times 22 \mathrm{mm})\) and sectioned on a cryostat (Leica CM1900) with a thickness of \(20 \mu \mathrm{m}\) . The sectioned tissues were then permeabilized in PBST (0.3% Triton- X- 100 in PBS, Sigma- Aldrich 93443) for 15 minutes at room temperature and blocked with \(1\%\) bovine serum albumin in PBS (Sigma- Aldrich A9647) for 30 minutes prior to staining. Primary antibody solutions (Iba1 Rabbit and GFAP Rabbit, Agilent Dako, Z0334, at a dilution of 1:400 in
+
+<--- Page Split --->
+
+1 PBS) were applied to stain the tissues and incubated overnight at room temperature. After washing the tissues with PBS three times, secondary antibody solutions (GFAP: Thermo Fisher Scientific, Donkey anti-Rabbit IgG (H+L) Highly Cross-Absorbed Secondary Antibody Alexa Fluor 488 Invitrogen, #A- 21206; Iba1: Thermo Fisher Scientific, Donkey anti-Rabbit IgG (H+L) Highly Cross-Absorbed Secondary Antibody Alexa Fluor 555, # A- 31572; dilution: 1:200 in PBS) were applied and incubated at room temperature for 2 hours. The tissues were then washed with PBS three times and mounted on glass slides. DAPI mounting medium (Southernbiotech, Fluoromount- G, Cat. No. 0100- 01) was used to mount the coverglass on top of the glass slide with the sections. The slides were left to dry in air at room temperature overnight before images were acquired using a confocal microscope (Leica SP2).
+
+Electromyography. EMG signals were recorded from the gastrocnemius muscle with one reference needle electrode, one hydrogel working electrode ( \(287 \pm 14 \mu \mathrm{m}\) ) and one ground electrode. A 473 nm laser (200 mW/mm \(^2\) , 0.5 Hz, pulse width 50ms) was used for transdermal optical stimulation. EMG data triggered by optogenetic activation were collected through a DAM50 system.
+
+In vivo electrophysiology. Electrophysiological recordings were performed by connecting the pin connectors of optrode devices to a DAM50 recording system. Optical illumination was carried out using a 473 nm laser connected to the implanted optrode devices via a ferrule-sleeve-ferrule connecting system. The laser ( \(10 \mathrm{mW / mm}^2\) ) was pulsed at a frequency of 0.5 Hz with a pulse width of 50 ms during optical stimulation. Signals were sampled at 50 kHz and filtered between 1- 1000 Hz. The amplitude and noise level of evoked potentials were analyzed using a MATLAB algorithm.
+
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+
+## Code availability
+
+The custom code used in this study is available from the corresponding author upon reasonable request.
+
+## Data availability
+
+The data supporting the findings of this study are available from the corresponding author upon reasonable request.
+
+## Acknowledgments
+
+We thank D. Kim and P. Anikeeva for the generous gifts of the plasmids and cell lines, Y. Liu for his assistance on electrochemical characterization, H. Kim for her assistance on mechanical property characterization and R. Chen for his thoughtful comments on our manuscript. This work was funded in part by the UMass Amherst Faculty Research Grant (P1FRG0000000295), the Brain&Behavior Research Foundation Young Investigator Grant (29878) and the National Institutes of Health (R00MH120279). This work made use of the UMass Amherst core facilities of Electron Microscopy, Light Microscopy, Raman, IR and XRF Spectroscopy, Roll- to- Roll Fabrication and Processing, and X- Ray Scattering, and Animal Care Service.
+
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+
+Figure 1. COMPACT strategy for hydrogel materials miniaturization. a, Schematic illustrations of hydrogel network of metamorphic polymers' amorphous-crystal transition (COMPACT). COMPACT treatment includes cross-linking with both glutaraldehyde (GA) and tetraethyl orthosilicate (TEOS), acidification and mechanical stretching. b-e, Representative photographs and water contents of TEOS-GA cross-linked polyvinyl alcohol (PVA) hydrogel with COMPACT treatment (+) and GA cross-linked hydrogel without acidification and stretching (- ) at the pristine state (b), desiccated state (c) and re-hydrated state (d). Grid size: 5 mm. f, Shrinking behaviors of TEOS-GA cross-linked PVA (4 wt.% TEOS) hydrogel film with acidification treatment. Film thickness is quantified as mean \(\pm\) standard deviation (s.d., paired student's t-test, \(\mathrm{***p = 0.0004}\) ). Each dot represents one individual film. g, Shrinking behaviors of COMPACT hydrogel fibers (1-4 wt.% TEOS and 200% stretching). Hydrogel fibers' length (black) and diameter (red) are quantified as mean \(\pm\) s.d. Each dot represents one independent fiber. h, Shrinking behaviors of cross-linked hydrogel cylinders. The volume of TEOS-GA cross-linked hydrogel cylinders (4 wt.% TEOS) and with acidification treatment and GA cross-linked hydrogel cylinders without acidification treatment are compared with mean \(\pm\) s.d. (unpaired student's t-test, \(\mathrm{F}_{3,3} = 6.084\) , \(\mathrm{*p = 0.0161}\) ). Each dot represents one independent hydrogel cylinder. i, Fourier transform infrared (FTIR) spectroscopy of COMPACT (- ) and COMPACT (+) hydrogels. j, Differential scanning calorimetry (DSC) profiles of COMPACT (- ) and COMPACT (+) and their crystallinity percentages. k, Small-angle X-ray (SAXS) and wide-angle X-ray (WAXS) results of hydrogel materials in the desiccated state (mean \(\pm\) s.d.). Inset: SAXS and WAXS 2D patterns.
+
+<--- Page Split --->
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+
+Figure 2. Controllable hydrogel fiber fabrication and its properties. a, A shrinking diagram
+
+of COMPACT \((+)\) hydrogel fibers. Each dot (mean \(\pm\) s.d.) represents an independent hydrogel fiber sample. The samples shaded in red areas are treated with acidification. b, Shrinking behaviors of COMPACT hydrogel fibers (4wt.% TEOS) prepared in different sizes of molds. Each dot (mean \(\pm\) s.d.) represents one independent fiber (one(One- way ANOVA and Tukey's multiple comparisons test, \(\mathrm{F}_{3,12} = 0.9543\) , n.s.: not significant. \(\mathrm{p} = 0.4455\) ). c, COMPACT hydrogel fibers' optical properties of refractive index (blue) and normalized light transmittance (red) (mean \(\pm\) s.d). Inset: representative photographs of 0 wt.% TEOS and 4 wt.% TEOS hydrogel membranes. Grid size: 1 mm. d, COMPACT hydrogel fibers' mechanical properties of elastic modulus (blue) and stretchability percentage (red). Each dot represents one independent fiber sample. One- way
+
+<--- Page Split --->
+
+1 ANOVA and Tukey's multiple comparisons test were used to determine the statistical significance of elastic modulus: \((\mathrm{F}_{4,15} = 20.51\) , \*\*\*\*p<0.0001; and stretchability: \((\mathrm{F}_{4,15} = 1.492\) , n.s. p=0.2543), respectively. e, Stability assessment of diameter reduction of COMPACT hydrogel fibers (3wt.% TEOS). Each dot (mean \(\pm\) s.d.) represents one independent fiber (two-way ANOVA and Tukey's multiple comparisons tests). f, Cytotoxicity assessment of COMPACT (+) hydrogels. Hydrogel incubated media was used to culture with HEK293 cell cultures. Calcein-AM (green) was used to stain living cells and ethidium homodimer-1 (red) was used to stain dead cells. Cell death rates are presented as mean \(\pm\) standard error (s.e.m., unpaired student's t-test).
+
+<--- Page Split --->
+![PLACEHOLDER_35_0]
+
+
+![PLACEHOLDER_35_1]
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+
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+1 Figure 3. Hydrogel optical neural probes for photometric recording with behavioral assessment. a, A schematic illustration of light transmission in a step- index hydrogel fiber. b, 3 Schematic illustrations and representative photographs of a COMPACT core hydrogel fiber, a 4 COMPACT core- plain- cladding hydrogel fiber, and a COMPACT core- rGO- cladding fiber. Scale: 5 \(200\mu \mathrm{m}\) . c, Representative photographs of blue light (480 nm) transmission from a COMPACT (- ) 6 core hydrogel fiber and a COMPACT (+) core hydrogel fiber into solutions containing Calcein 7 fluorescent dye. d, Light attenuation coefficients of COMPACT core hydrogel fibers, COMPACT 8 core- plain- cladding hydrogel fibers, and COMPACT core- rGO- cladding fibers (mean \(\pm\) s.d., one- 9 way ANOVA and Tukey's multiple comparisons test, \(\mathrm{F}_{2,9} = 13.3\) , \(\mathrm{**p = 0.0021}\) ). Each dot presents 10 one independent hydrogel fiber sample. e, Experimental scheme for the viral injection, optical 11 fiber implantation, photometric recording and social behavior tests. f, Representative images in 12 mouse social interaction tests. g, A schematic illustration of fiber photometry recording setup with 13 concurrent mouse social behavior tests. h, Normalized fluorescence intensity change \((\Delta \mathrm{F} / \mathrm{F}_{0})\) of 14 GCaMP6s in the VTA from mice social interactions. Blue bars indicate social interaction time.
+
+<--- Page Split --->
+![PLACEHOLDER_37_0]
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+
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+Figure 4. Integrated multifunctional hydrogel neural probes. a, A Representative photograph of a carbon nanotube (CNT)- PVA hydrogel electrode as compared with a piece of human hair. Scale: \(300 \mu \mathrm{m}\) . b, A transmission electron microscopy (TEM) image of CNTs. Scale: \(200 \mathrm{nm}\) . c, Impedance at \(1 \mathrm{kHz}\) (red dots) and diameters of the electrodes (blue dots) fabricated different stretching percentages (mean \(\pm\) s.d.). Each dot represents one independent hydrogel electrode. d, Impedance at \(1 \mathrm{kHz}\) of electrodes fabricated with different CNT concentrations (mean \(\pm\) s.d.). Each dot represents one independent hydrogel electrode. e, Impedance at \(1 \mathrm{kHz}\) of electrodes (red dots) and diameters of the electrode (blue dots) fabricated with different sizes of molds (mean \(\pm\) s.d.). Each dot represents one independent hydrogel electrode. f, Stability assessment on impedance (red dots) and diameters (blue dots) of hydrogel electrodes (mean \(\pm\) s.d.). Each dot represents one independent hydrogel electrode. g, A schematic illustration of electrical recordings from mouse gastrocnemius muscles with a CNTs- PVA electrode in the presence of transdermal optical stimulation. h, Representative EMG signals recorded with CNT- PVA hydrogel electrodes upon transdermal optogenetic stimulations in Thy1::ChR2- EYFP mice ( \(\lambda = 473 \mathrm{nm}\) , \(0.5 \mathrm{Hz}\) , pulse width \(50 \mathrm{ms}\) , \(200 \mathrm{mW / mm}^2\) ). Blue bars indicate the light illumination periods. i, Overlay plot of EMG peaks. j, A scanning electron microscopy (SEM) image at the cross- section of an integrated multifunctional neural probe containing an optical core and two CNT- PVA hydrogel electrodes. Scale: \(100 \mu \mathrm{m}\) . k- l, Photographs of a hydrogel optoelectronic device (optrode) before implantation and after implantation in a Thy1::ChR2- EYFP mouse brain. Scale: \(2 \mathrm{mm}\) . m, Confocal images of the expression of ChR2- EYFP in the VTA region of mouse. Scale: \(50 \mu \mathrm{m}\) . n, Representative in vivo electrophysiological signals recorded with optrodes upon optical stimulation (blue bars, \(\lambda = 473 \mathrm{nm}\) , \(0.5 \mathrm{Hz}\) , pulse width \(50 \mathrm{ms}\) , \(10 \mathrm{mW / mm}^2\) ). l, Amplitudes of electrophysiological signals
+
+<--- Page Split --->
+
+1 recorded with optical stimulation on day 3, day 5, day 7, and day 14 post-implantation ( \(\lambda = 473 \mathrm{nm}\) ,
+
+2 0.5 Hz, pulse width 50 ms, 10 mW/mm², mean ± s.e.m.).
+
+<--- Page Split --->
+
+## 1 Reference
+
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+1 Nature 491, 212- 217 (2012). 2 35. Markovic, T. et al. Pain induces adaptations in ventral tegmental area dopamine neurons to 3 drive anhedonia-like behavior. Nat. Neurosci. 24, 1601- 1613 (2021). 4 36. Gunaydin, L. A. et al. Natural Neural Projection Dynamics Underlying Social Behavior. 5 Cell 157, 1535- 1551 (2014). 6 37. Kim, C. K. et al. Simultaneous fast measurement of circuit dynamics at multiple sites across 7 the mammalian brain. Nat. Methods 13, 325- 328 (2016). 8 38. Freedman, B. R. et al. Enhanced tendon healing by a tough hydrogel with an adhesive side 9 and high drug- loading capacity. Nat. Biomed. Eng. 6, 1167- 1179 (2022). 10 39. Law, S. S. Y. et al. Polymer- coated carbon nanotube hybrids with functional peptides for 11 gene delivery into plant mitochondria. Nat. Commun. 13, 2417 (2022). 12 40. Gao, F., Viry, L., Maugey, M., Poulin, P. & Mano, N. Engineering hybrid nanotube wires 13 for high- power biofuel cells. Nat. Commun. 1, 2 (2010).
+
+<--- Page Split --->
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+## Supplementary Files
+
+This is a list of supplementary files associated with this preprint. Click to download.
+
+SupplementaryInformation.pdf
+
+<--- Page Split --->
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+<|ref|>title<|/ref|><|det|>[[44, 108, 852, 208]]<|/det|>
+# Control of Polymers' Amorphous-crystalline Transition for Hydrogel Bioelectronics Miniaturization and Multifunctional Integration
+
+<|ref|>text<|/ref|><|det|>[[44, 230, 225, 275]]<|/det|>
+Siyuan Rao syrao@umass.edu
+
+<|ref|>text<|/ref|><|det|>[[44, 301, 744, 320]]<|/det|>
+University of Massachusetts, Amherst https://orcid.org/0000- 0002- 1555- 487X
+
+<|ref|>text<|/ref|><|det|>[[44, 327, 200, 365]]<|/det|>
+Sizhe Huang UMass Amherst
+
+<|ref|>text<|/ref|><|det|>[[44, 373, 395, 414]]<|/det|>
+Xinyue Liu Massachusetts Institute of Technology
+
+<|ref|>text<|/ref|><|det|>[[44, 420, 400, 460]]<|/det|>
+Shaoting Lin https://orcid.org/0000- 0002- 1308- 9628
+
+<|ref|>text<|/ref|><|det|>[[44, 467, 201, 504]]<|/det|>
+Christopher Glynn UMass Amherst
+
+<|ref|>text<|/ref|><|det|>[[44, 512, 200, 550]]<|/det|>
+Kayla Felix UMass Amherst
+
+<|ref|>text<|/ref|><|det|>[[44, 558, 395, 598]]<|/det|>
+Atharva Sahasrabudhe Massachusetts Institute of Technology
+
+<|ref|>text<|/ref|><|det|>[[44, 604, 200, 641]]<|/det|>
+Collin Maley UMass Amherst
+
+<|ref|>text<|/ref|><|det|>[[44, 649, 200, 686]]<|/det|>
+Jingyi Xu UMass Amherst
+
+<|ref|>text<|/ref|><|det|>[[44, 694, 200, 732]]<|/det|>
+Weixuan Chen UMass Amherst
+
+<|ref|>text<|/ref|><|det|>[[44, 740, 200, 777]]<|/det|>
+Eunji Hong UMass Amherst
+
+<|ref|>text<|/ref|><|det|>[[44, 786, 200, 822]]<|/det|>
+Alfred Crosby
+
+<|ref|>text<|/ref|><|det|>[[44, 819, 738, 837]]<|/det|>
+University of Massachusetts Amherst https://orcid.org/0000- 0001- 8850- 8869
+
+<|ref|>text<|/ref|><|det|>[[44, 866, 200, 881]]<|/det|>
+Qianbin Wang
+
+<|ref|>text<|/ref|><|det|>[[52, 860, 200, 877]]<|/det|>
+UMass Amherst
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[44, 45, 136, 64]]<|/det|>
+## Keywords:
+
+<|ref|>text<|/ref|><|det|>[[44, 83, 286, 102]]<|/det|>
+Posted Date: May 9th, 2023
+
+<|ref|>text<|/ref|><|det|>[[44, 120, 473, 140]]<|/det|>
+DOI: https://doi.org/10.21203/rs.3.rs- 2864872/v1
+
+<|ref|>text<|/ref|><|det|>[[42, 158, 910, 201]]<|/det|>
+License: © This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+<|ref|>text<|/ref|><|det|>[[42, 219, 530, 239]]<|/det|>
+Additional Declarations: There is NO Competing Interest.
+
+<|ref|>text<|/ref|><|det|>[[42, 275, 910, 317]]<|/det|>
+Version of Record: A version of this preprint was published at Nature Communications on April 25th, 2024. See the published version at https://doi.org/10.1038/s41467- 024- 47988- w.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[66, 88, 888, 880]]<|/det|>
+1 Control of Polymers' Amorphous-crystalline Transition for Hydrogel Bioelectronics2 Miniaturization and Multifunctional Integration3 Sizhe Huang1, Xinyue Liu2, Shaoting, Lin3, Christopher Glynn1, Kayla Felix1, Atharva4 Sahasrabudhe4, Collin Maley1, Jingyi Xu1, Weixuan Chen1, Eunji Hong1, Alfred J. Crosby5,5 Qianbin Wang1,*,, Siyuan Rao1,6,7,*6 1. Department of Biomedical Engineering, University of Massachusetts, Amherst, MA 01003,7 United States8 2. Department of Mechanical Engineering, Massachusetts Institute of Technology, Cambridge, MA,9 02139, United States10 3. Department of Mechanical Engineering, Michigan State University, MI, 48824, United States11 4. Research Laboratory of Electronics, Massachusetts Institute of Technology, Cambridge, MA,12 02139, United States13 5. Department of Polymer Science and Engineering, University of Massachusetts, Amherst, MA14 01003, United States15 6. Institute for Applied Life Sciences, University of Massachusetts, Amherst, MA 01003, United16 States17 7. Neuroscience and Behavior Graduate Program, University of Massachusetts, Amherst, MA18 01003, United States19 Corresponding authors: Qianbin Wang (qianbinwang@umass.edu), Siyuan Rao20 (syrao@umass.edu)21
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[70, 91, 198, 109]]<|/det|>
+## 1 Abstract:
+
+<|ref|>text<|/ref|><|det|>[[110, 120, 888, 880]]<|/det|>
+Bioelectronic devices made of soft elastic materials exhibit motion- adaptive properties suitable for brain- machine interfaces and for investigating complex neural circuits. While two- dimensional microfabrication strategies enable miniaturizing devices to access delicate nerve structures, creating 3D architecture for expansive implementation requires more accessible and scalable manufacturing approaches. Here we present a fabrication strategy through the control of metamorphic polymers' amorphous- crystalline transition (COMPACT), for hydrogel bioelectronics with miniaturized fiber shape and multifunctional interrogation of neural circuits. By introducing multiple cross- linkers, acidification treatment, and oriented polymeric crystalline growth under deformation, we observed about an \(80\%\) diameter decrease in chemically cross- linked polyvinyl alcohol (PVA) hydrogel fibers, stably maintained in a fully hydrated state. We revealed that the addition of cross- linkers and acidification facilitated the oriented polymeric crystalline growth under mechanical stretching, which contributed to the desired hydrogel fiber diameter decrease. Our approach enabled the control of hydrogels' properties, including refractive index (RI 1.37- 1.40 at 480 nm), light transmission ( \(>96\%\) ), stretchability ( \(95\% - 111\%\) ), and elastic modulus (10- 63 MPa). To exploit these properties, we fabricated step- index hydrogel optical probes with contrasting RIs and applied them in optogenetics and photometric recordings in the mouse brain region of the ventral tegmental area (VTA) with concurrent social behavioral assessment. To extend COMPACT hydrogel multifunctional scaffolds to assimilate conductive nanomaterials and integrate multiple components of optical waveguide and electrodes, we developed carbon nanotubes (CNTs)- PVA hydrogel microelectrodes for hindlimb muscle electromyographic and brain electrophysiological recordings of light- triggered neural activities in transgenic mice expressing Channelrhodopsin- 2 (ChR2).
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[68, 91, 164, 109]]<|/det|>
+## 1 Main
+
+<|ref|>text<|/ref|><|det|>[[110, 123, 886, 494]]<|/det|>
+Soft and elastic bioelectronics enable multifunctional interrogation of cell function from singlecell to organ- level resolution while providing tissue- like interfaces. In dynamically moving in vivo environments, such soft bio- interfaces can adapt to the persistent mechanical deformations of the living tissues, and consequently provide chronic, reliable access to biological systems. For the sophisticated yet delicate nervous system interfaces, elastic polymer materials, including polydimethylsiloxane (PDMS) \(^{1}\) , cyclic olefin copolymer elastomer (COCE) \(^{2}\) , polyurethane (PU) \(^{3}\) , alginate hydrogels \(^{4,5}\) , have been deployed as the suitably elastic substrate for multifunctional devices that enable neural optogenetics stimulation \(^{1,6,7}\) , electrophysiological recording \(^{8,9}\) , drug infusion \(^{10}\) and neurotransmitter detection \(^{11}\) . However, fabricating dedicated microstructures in soft and elastic devices is limited to 2D architectures and heavily relies on successive and sophisticated manufacturing approaches such as lithography \(^{12,13}\) and micro- printing \(^{14}\) .
+
+<|ref|>text<|/ref|><|det|>[[110, 520, 886, 752]]<|/det|>
+Thermal pulling yields multiple- step scaling- down feasibility for multifunctional polymer fibers \(^{10,15}\) ; however, this approach requires coherent parameters of the constituent materials, such as glass transition temperature \((T_{g})\) , melting temperature \((T_{m})\) and thermal expansion coefficients \((\alpha)\) to be drawn into an integrated fiber. Moreover, the high- temperature process narrows the selections of available polymers for high- water- content bioelectronics. Assisted with hydrogel cross- linking as a soft material matrix, hybrid multifunction fibers permit adaptive bending stiffness for long- term sensing and neural modulation \(^{4,16}\) .
+
+<|ref|>text<|/ref|><|det|>[[110, 781, 886, 907]]<|/det|>
+Besides mechanical stiffness change in the hydrated state and the desiccated state, hydrogel materials permit tunable volumetric control as the supporting scaffold. Employing hydrogel swelling behaviors in the solvated state, the expansion microscopy technique utilized hydrogel volumetric increase to enhance microimaging resolution for intact biological tissues \(^{17}\) . In contrast,
+
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+<|ref|>text<|/ref|><|det|>[[70, 88, 886, 285]]<|/det|>
+1 hydrogel shrinking behaviors in a desiccated state have been applied to densify patterned materials in volumetric scaffold deposition and obtain nanoscale feature sizes in three dimensions18,19. However, the hydrogel swelling and shrinking behaviors in these techniques are based on reversible polymer chains collapse in the desiccated state and expansion upon hydration. When applied to an aqueous in vivo environment, the shrunk hydrogels will expand and lose the miniaturized structures from the original manufacturing.
+
+<|ref|>text<|/ref|><|det|>[[110, 313, 886, 508]]<|/det|>
+Inspired by the volumetric change resulting from polymer chains' folding and expansion, we hypothesize that control of the amorphous- crystalline transition in semi- crystalline hydrogels can enable intervention in polymer chain folding and crystallization. Consequently, this process prevents polymer chains' expansion from their designed nanocrystalline structure in order to maintain hydrogels' volumes under a solvated state. Hydrogel bioelectronics, miniaturized by the polymeric crystallization approaches, can stably maintain their designed architectures in vivo.
+
+<|ref|>text<|/ref|><|det|>[[110, 536, 886, 907]]<|/det|>
+Here, we developed a set of cross- linking chemistry and micro- fabrication processes to control polymeric crystalline domain growth with cross- linked polyvinyl alcohol (PVA) hydrogels. A stable and tunable volumetric decrease of hydrogels was consistently achieved in a hydrated state under physiological conditions (pH 6- 8, 37 °C). Through acidification treatment that increases polymer chain mobility while introducing dual cross- linkers of the inorganic binder tetraethyl orthosilicate (TEOS) and the generic glutaraldehyde (GA), we minimized the polymetric crystalline scattering (crystal size around 3.5 nm) and increased the hydrogels' refractive indices (RI). Further nanocrystalline orientation induced by uniaxial deformation promoted the generation of nanoscale anisotropic architectures. This control of metamorphic polymers' amorphous- crystalline transition (COMPACT) strategy enabled a 79.7% diameter decrease of hydrogel fibers in the hydrated state while maintaining high stretchability (94.5% - 111.2%) and low elastic moduli
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[70, 88, 886, 358]]<|/det|>
+(9.7- 62.5 MPa). Since COMPACT hydrogels provide a variety of RI options, we developed corecladding hydrogel fibers with distinct RI contrast ( \(\mathrm{n}_{\mathrm{core}} = 1.40\) , \(\mathrm{n}_{\mathrm{cladding}} = 1.34\) ). These core-cladding structured hydrogel fibers were applied for concurrent photometry recordings from mouse brain ventral tegmental area (VTA) in the context of social interactions. Taking advantage of these tunable hydrogel matrix scaffolds, we loaded conductive nanomaterials, carbon nanotubes, into COMPACT hydrogels for hybrid microelectrodes. Integrated with an optical core, we produced multifunctional hydrogel optoelectronic devices for in vivo electrophysiological recording of optically triggered neural activities.
+
+<|ref|>sub_title<|/ref|><|det|>[[75, 389, 180, 407]]<|/det|>
+## 9 Results
+
+<|ref|>sub_title<|/ref|><|det|>[[70, 423, 600, 444]]<|/det|>
+## 10 COMPACT strategy for hydrogels controllable shrinking
+
+<|ref|>text<|/ref|><|det|>[[70, 455, 890, 900]]<|/det|>
+Chemically cross-linked PVA hydrogels have been widely employed with superior optical properties20, fatigue-resistance21, 22, and biocompatibility for bioelectronics applications23, 24. To further explore PVA hydrogels' controllable miniaturization properties while preserving these advantageous features, we designed new hydrogels fabrication approaches by control of metamorphic polymers' amorphous-crystalline transition (COMPACT) with the following aspects: (i) polymer chains folding and immobilization with multiple cross-linkers, (ii) intervention on intermolecular chain interactions in the hydrogel matrix, (iii) inducing the oriented growth of nanocrystalline domains. We implemented the COMPACT strategy following three major procedures to control individual polymer chain folding, polymer chain network interactions and nanocrystalline growth. We first introduced the hydrolysis of TEOS in PVA solutions through homogenization (Fig. 1a and Supplementary Note 1), followed by the addition of a generic cross-linker, GA. A combination of two types of cross-linkers is chosen to allow the control of polymer chain mobility via covalent bonding and parallel tuning of hydrogels' refractive index. We then
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[67, 88, 888, 355]]<|/det|>
+1 acidified the cross- linked hydrogels to promote intermolecular chain interactions and to facilitate 2 the formation of nanocrystalline domains in hydrogels. External mechanical stretching was applied 3 to the fully acidified hydrogels and maintained during the desiccating process. After the removal 4 of water molecules from hydrogels, high- temperature (100 °C) annealing was employed to further 5 promote the growth and orientation of the nanocrystalline domains. To test whether polymeric 6 nanocrystalline domains created through the COMPACT strategy can preserve hydrogels 7 volumetric shrinking under hydrated status, we next examined the dimensions and water fractions 8 of cross- linked hydrogels under pristine, desiccated, and re- hydrated states (Fig. 1b- e).
+
+<|ref|>text<|/ref|><|det|>[[112, 382, 886, 579]]<|/det|>
+9 We prepared fiber- shaped hydrogels via molding and extrusion methods (Supplementary Note 10 2). At the pristine (Fig. 1b) and desiccated states (Fig. 1c), the two hydrogel fibers with TEOS- 11 GA cross- linking (COMPACT+) and GA cross- linking (COMPACT-) exhibited comparable 12 geometries and water fractions (Fig. 1e); however, only the TEOS- GA cross- linked PVA hydrogel 13 fiber with acidification and mechanical stretching maintained the reduced diameters in the re- 14 hydrated state (Fig. 1d, e).
+
+<|ref|>text<|/ref|><|det|>[[111, 606, 886, 908]]<|/det|>
+15 After we confirmed that hydrogels retained shrinking behaviors in the re- hydrated state with 16 COMPACT treatment, we tested whether size reduction is dependent on the materials' geometries 17 and external constraints. We prepared hydrogels with the shapes of thin film, fiber, and block, and 18 examined the changes of COMPACT hydrogel film thickness (T, Fig. 1f), fiber diameter (D, Fig. 19 1g) and volume (V, Fig. 1h). TEOS- GA cross- linked PVA hydrogel thin films with acidification 20 treatment exhibited a thickness reduction ratio of \(93.4 \pm 3.6\%\) (pristine thickness: \(501 \pm 134 \mu \mathrm{m}\) ; 21 re- hydrated thickness: \(33 \pm 18 \mu \mathrm{m}\) ) under optical microscopy examination (Fig. 1f). TEOS- GA 22 cross- linked PVA hydrogel fibers, with applied acidification and mechanical strain (200%) 23 treatments, reached the maximum diameter shrinking ratio of \(79.7 \pm 2.3\%\) , by increasing the
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[67, 88, 886, 180]]<|/det|>
+1 content of the TEOS cross- linker (Fig. 1g). In three- dimensional free shrinking structures, we observed \(80.9 \pm 0.7\%\) volumetric shrinking in acidified TEOS- GA cross- linked cylinders as compared to pristine ones (Fig. 1h).
+
+<|ref|>text<|/ref|><|det|>[[66, 201, 888, 864]]<|/det|>
+4 We then investigated the mechanisms of the sustained hydrogel volume decrease and the design of amorphous and crystalline architectures. Fourier transform infrared spectroscopy (FTIR) results indicated covalent bonds (Si- O- Si and Si- OH) generated in the COMPACT hydrogel network (Fig. 1i). The new Si- O- Si (1080 cm \(^{- 1}\) ) and Si- OH (950 cm \(^{- 1}\) ) bonds came from hydrolyzed TEOS Si- OR groups' reactions with the hydroxyl groups on PVA chains. The generic cross- linker GA reactions were confirmed by the observation of C=O bond (1740 cm \(^{- 1}\) ) and the Si- O- C bond (1140 cm \(^{- 1}\) ) from the reaction with TEOS Si- OR groups. Besides confirming covalent bonds generated among hydrogel polymer chains, differential scanning calorimetry (DSC) results exhibited the change of polymer chain interactions and polymeric crystallinity after COMPACT treatment. Undissolved PVA powders showed \(28.4 \pm 3.5\%\) crystallinity (Fig. 1j and Supplementary Fig.2), similar to the reported crystallinity percentage of semi- crystalline PVA polymers \(^{25}\) . GA- cross- linked PVA hydrogels exhibited \(21.6 \pm 1.1\%\) crystallinity while the additional TEOS cross- linking, and acidification suppressed the polymer chain folding to form crystalline domains (crystallinity: \(12.7 \pm 1.5\%\) ). We further examined the nanocrystalline domains and orientation with X- ray scattering techniques. The size of PVA nanocrystals was measured as \(3.5 \pm 0.1\) nm while the nanocrystalline spacing increased from 8.4 nm to 10.2 nm after 200% axial stretching (Fig. 1k and Supplementary Fig. 2- 4). Wide- angle X- ray scattering (WAXS) 2D patterns suggested that the lamellae crystal domains were re- oriented along the axial stretching direction (Fig. 1k and Supplementary Fig. 4).
+
+<|ref|>sub_title<|/ref|><|det|>[[113, 886, 518, 906]]<|/det|>
+## COMPACT hydrogel fibers' tunable properties
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 886, 568]]<|/det|>
+With COMPACT- enabled hydrated hydrogel size reduction, we expanded this methodology to develop a series of hydrogel fibers with controlled diameters and tunable optical and mechanical properties for biomedical use. We mapped a rational and comprehensive shrinking diagram by varying the content of inorganic cross- linker (TEOS), acidification, and external mechanical stretching (Fig. 2a). Generally, increasing cross- linking density with more cross- linkers yielded less ductile polymer chains with reduced dimension upon hydration. Acidification treatment dramatically boosted shrinking percentages across different cross- linking densities while mechanical static stretching further decreased hydrogel fibers in diameters \((79.7 \pm 2.3\%)\) . To fit COMPACT into a practical molding- extrusion fabrication process (Supplementary Note 2) \(^{26}\) , we examined a series of hydrogel fibers made with different sizes of silicone molds (Fig. 2b and Supplementary Fig. 5). Independent from the mold size, all COMPACT hydrogel fibers reached reduced diameters more than \(79\%\) , which is consistent with the shrinking diagram (Fig. 2a). As an example, using \(300 \mu \mathrm{m}\) (inner diameter, ID) silicone molds, thin hydrogel fibers were fabricated with diameters of \(80 \pm 4 \mu \mathrm{m}\) .
+
+<|ref|>text<|/ref|><|det|>[[111, 592, 886, 893]]<|/det|>
+Considering their fiber optic in vivo applications \(^{27}\) , we examined the optical, mechanical and biocompatible properties of COMPACT hydrogel fibers. To ensure efficient light transmission for optical stimulation and recordings, we considered two important parameters of the hydrogel fiber core: refractive index (RI) and light transmittance. We observed that hydrogels' refractive indices can be tuned by increasing TEOS contents. COMPACT hydrogels with 0 wt. \(\%\) to 4 wt. \(\%\) TEOS contents exhibited refractive indices ranging from 1.48 to 1.60 in the desiccated state (Fig. 2c) and 1.37 to 1.40 in the hydrated state (Supplementary Fig. 6a- b), which is comparable with the RI of other conventional polymer hydrogels \(^{28}\) . Although all the transmittance remained above \(96\%\) , increasing TEOS content also led to decreased transmittance (Fig. 2c and Supplementary Fig.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[66, 88, 886, 286]]<|/det|>
+6c), and increased autofluorescence (17.8% increase of 4 wt.% TEOS hydrogels compared to 0 wt. % TEOS hydrogels, excitation wavelength: 485 nm, excitation peak: 520 nm, Supplementary Fig. 6d). The optimal TEOS content was chosen as 3 wt. %, which resulted in hydrogels with 1.54 \(\pm 0.01\) of refractive index (Fig. 2c), \(>96\%\) of transmittance ((Fig. 2c, for \(0.15 \pm 0.02 \mathrm{mm}\) thick membranes), and \(6.13 \pm 0.16\) relative fluorescent units (RFU)/mm of autofluorescence (for \(0.15 \pm 0.02 \mathrm{mm}\) thick membranes. water: 3.70 RFU/mm, Supplementary Fig. 6d).
+
+<|ref|>text<|/ref|><|det|>[[66, 313, 886, 579]]<|/det|>
+We then examined whether COMPACT hydrogels maintained tissue- like elasticity. COMPACT hydrogel fibers exhibited relatively low elastic moduli while maintaining high stretchability (Fig.2d and Supplementary Fig. 7a- b). The optimized COMPACT hydrogel fiber (3 wt. % TEOS, \(12 \mathrm{mM}\) HCl acidification treatment and \(200\%\) stretching, diameter: \(227 \pm 18 \mu \mathrm{m}\) ) exhibited an elastic modulus of \(34.03 \pm 7.38 \mathrm{MPa}\) . Compared to silica fibers ( \(\sim 20 \mathrm{GPa}\) elastic modulus) \(^{29}\) and polymer fibers ( \(\sim 1 \mathrm{GPa}\) elastic modulus) \(^{2,4}\) , COMPACT hydrogel fibers offer enhanced mechanical matching to the nervous tissues (1- 4 kPa) \(^{30}\) and lead to less neural tissue damage from micromotion involved in vivo studies \(^{31}\) .
+
+<|ref|>text<|/ref|><|det|>[[66, 607, 886, 839]]<|/det|>
+We then tested whether crystalline- enabled size reduction of COMPACT hydrogels can overcome the intrinsic hydrogel swelling exhibited upon hydration and maintain structural stability in vivo, we incubated COMPACT hydrogel fibers in ex vivo physiological conditions (pH: 6- 8, \(37^{\circ} \mathrm{C}\) , saline solution) and monitored fibers' dimension over time. We observed the shrinking percentage maintained above \(74\%\) over 3 months (Fig. 2e and Supplementary Fig. 8). Cytotoxicity tests with human embryonic kidney cells (HEK293) exhibited no significant cell death in the presence of COMPACT hydrogels (Fig. 2f and Supplementary Fig. 9).
+
+<|ref|>sub_title<|/ref|><|det|>[[66, 867, 402, 888]]<|/det|>
+## Step-index hydrogel optical fibers
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 886, 250]]<|/det|>
+COMPACT hydrogels were first fabricated into step- index optical fibers (Supplementary Note 3). Increased RI contrast between optical core and cladding layers ensures light transmission and the consequent photodetection sensitivity (Fig. 3a). Based on tunable refractive indices of COMPACT hydrogels (Fig. 2c and Supplementary Fig. 6 a- b), we designed step- index hydrogel fibers with high- RI core (ncore=1.40) and low- RI cladding (ncladding=1.34).
+
+<|ref|>text<|/ref|><|det|>[[111, 278, 886, 688]]<|/det|>
+Hydrogel fibers were connected to a silica segment embedded in an optical ferrule, which provides a strong connection while preventing directly exposed hydrogel dehydration out of tissues and light loss (Supplementary Note 3). We validated the function of RI- contrasting core- cladding structures by comparing the light transmission between bare core fibers, step- index fibers with plain cladding and those with light- protective cladding (Fig. 3b- c, and Supplementary Note 3- 4). The bare core fibers (diameter of \(329 \pm 17 \mu \mathrm{m}\) ) exhibited a relatively high attenuation \((1.87 \pm 0.53 \mathrm{dB / cm})\) while introducing a thin low- RI cladding layer (thickness of \(84 \pm 4 \mu \mathrm{m}\) on the surface of \(372 \pm 10 \mu \mathrm{m}\) cores, \(n_{\mathrm{cladding}} = 1.34\) ) decreased the light transmission attenuation to \(1.75 \pm 0.08 \mathrm{dB / cm}\) (Fig. 3c). A representative light- absorption nanomaterial32,33, reduced graphene oxide (rGO) was loaded into low- RI cladding to further protect light leakage from fibers' lateral surface and consequently reduced the light attenuation to \(0.94 \pm 0.25 \mathrm{dB / cm}\) (core \(339 \pm 35 \mu \mathrm{m}\) , cladding: 36 \(\pm 11 \mu \mathrm{m}\) of 5 wt.% PVA with 0.21 wt.% rGO) (Fig. 3c and Supplementary Fig. 10).
+
+<|ref|>text<|/ref|><|det|>[[111, 712, 886, 907]]<|/det|>
+To validate their functionality for in vivo optical interrogation, we tested COMPACT hydrogel fibers with fiber photometric recording in the context of mouse social behaviors. Activation of VTA region and its related circuits has been studied with various techniques, including optogenetics34, electrical stimulation and chemogenetics35, related to social behaviors in mice36. As a proof- of- concept application, we applied COMPACT hydrogel fibers to record mouse deep brain structure, VTA, with concurrent social behavior observation. We unilaterally implanted
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[68, 87, 888, 494]]<|/det|>
+COMPACT optical fibers \((580 \pm 35 \mu \mathrm{m})\) in VTA after injecting of adeno- associated virus (AAV) containing genetically encoded calcium indicator \((hSyn::GCaMP6s)\) (Fig. 3e). A home- built fiber photometry system (wavelengths: \(\lambda_{\mathrm{isosbestic point}} = 405 \mathrm{nm}\) , \(\lambda_{\mathrm{excitation}} = 470 \mathrm{nm}\) , \(\lambda_{\mathrm{emission}} = 510 \mathrm{nm}\) ) based on the previous design was used to collect GCaMP fluorescent change as a proxy to reflect the neural activity37 (Fig. 3g and Supplementary Fig. 13). We utilized the stiffness change of hydrogel fibers from a desiccated state (stiff) to a hydrated state (soft) and implanted the hydrogel fiber in the desiccated state with calibrated coordinates (Supplementary Figure. 11- 12). After an incubation period of 4 weeks for AAV virus expression, we subjected mice to a social behavioral test with concurrent photometric recordings. Mouse social interactions were analyzed with DeepLabCut markless pose estimation and a custom- developed MatLab algorithm (Fig. 3f). We found that increased fluorescent intensity of GCaMP was correlated with mouse social interaction epochs (Fig. 3h).
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 523, 555, 543]]<|/det|>
+## COMPACT multifunctional hydrogel neural probes
+
+<|ref|>text<|/ref|><|det|>[[110, 555, 888, 893]]<|/det|>
+Hydrogel matrix can support various nanoscale materials to extend the functionalities while maintaining desired mechanical properties35, 38. To enrich hydrogel neural probes' modality for electrical recordings, we incorporated conductive carbon nanotubes (CNTs, \(12 \pm 6 \mathrm{nm}\) diameter) into PVA hydrogel scaffolds during hydrogel cross- linking (Fig. 4a and Supplementary Note 5). Acidification and mechanical stretching facilitated CNT plaiting into polymer matrices and ensured entanglement with PVA chains and consequently augmented electrical conductivity as a percolated network39, 40. CNTs- PVA hydrogel electrodes ( \(86 \pm 5 \mu \mathrm{m}\) diameter) exhibited stable impedances of \(658 \pm 277 \mathrm{k}\Omega\) at \(1 \mathrm{kHz}\) (PBS, \(25^{\circ} \mathrm{C}\) , Fig. 4c and Supplementary Fig. 15) and impedance was tunable with designed mold sizes and CNT loadings (Fig. 4d and f). CNTs- PVA hydrogel electrodes were insulated with a viscoelastic coating of styrene- ethylene- butylene-
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[71, 88, 888, 180]]<|/det|>
+1 styrene (SEBS) (Supplementary Note 5 and Supplementary Fig. 16). To verify the stability of CNTs- PVA hydrogel electrodes, we incubated them in PBS solutions and characterized the impedance over 6 weeks (Fig.4e). No significant increase of impedance at 1kHz was found.
+
+<|ref|>text<|/ref|><|det|>[[110, 207, 888, 445]]<|/det|>
+4 Then we deployed CNT- PVA hydrogel electrodes for electromyographic (EMG) recordings of mouse hindlimb muscles in response to the pulsed blue light illumination. CNT- PVA hydrogel electrodes detected hindlimb muscle electrical signals upon transdermal optical stimulation (wavelength \(\lambda = 473 \mathrm{nm}\) , \(200 \mathrm{mW / mm}^2\) , \(0.5 \mathrm{Hz}\) , pulse width \(50 \mathrm{ms}\) ) in Thy1::ChR2- EYFP mice, which express photo- excitatory opsin, Channelrhodopsin 2 (ChR2), in the nervous system (Fig. 4f). EMG signals exhibited repeatable amplitude and signal- to- noise ratios, which indicates the reliability of CNT- PVA hydrogel microelectrodes.
+
+<|ref|>text<|/ref|><|det|>[[110, 472, 888, 808]]<|/det|>
+11 When extending hydrogel miniaturization from bulk materials to interfaces, the COMPACT strategy offers a new avenue for multiple components integration. Since RI- distinct core- cladding structures ensure light transmission in optical cores, we introduced two CNT- PVA electrodes into the cladding layers with a COMPACT hydrogel core (Fig. 4b). A hydrogel optoelectrical device (optrode), is designed to enable optical modulation with simultaneous electrophysiological recording (Supplementary Note 6). In Thy1::ChR2- EYFP mice, blue light pulses ( \(\lambda = 473 \mathrm{nm}\) , \(0.5 \mathrm{Hz}\) , pulse width \(50 \mathrm{ms}\) , \(10 \mathrm{mW / mm}^2\) ), delivered through the hydrogel optical core, consistently activated ChR2- expressing neurons in VTA while the neural electrical signals were collected through CNT- PVA electrodes (Fig. 4l). The optical evoked potentials were repeatedly captured with correlation with the onset of light stimulation over two weeks post- implantation.
+
+<|ref|>sub_title<|/ref|><|det|>[[68, 838, 207, 856]]<|/det|>
+## 21 Discussion
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[67, 88, 888, 390]]<|/det|>
+1 In this study, we developed a set of hydrogel cross- linking chemistry and fiber- shaped device 2 microfabrication approaches through a bottom- up strategy of tuning polymers' amorphous- 3 crystalline transition for hydrogel bioelectronics miniaturization and integration. COMPACT 4 provides an accessible, scalable, and controllable fabrication method for micro- structured hydrogel 5 fibers as small as \(80 \mu \mathrm{m}\) with consistently low asperity. These hydrogels provide a platform for 6 functionally augmented interfaces through loadings of additional nanomaterials. COMPACT 7 hydrogels can be further designed into step- index optical probes and optoelectronic devices 8 (optrodes) which are well- suited for neural modulation and recordings concurrent with behavioral 9 assays in mice.
+
+<|ref|>text<|/ref|><|det|>[[110, 416, 886, 858]]<|/det|>
+10 Unlike established approaches to shrink hydrogels via desiccation, where collapse of polymer 11 chain during drying leads to reversible swelling upon hydration, COMPACT hydrogels' 12 polymetric nanocrystalline and enhanced interpolymer chain interactions maintained stable 13 folding in the hydrated state and therefore permit retained volumetric size reduction. Over 3 14 months of incubations under physiological temperature and osmolarity, the shrunk COMPACT 15 hydrogel fibers maintained the designed diameters within less than \(1\%\) variance (Fig. 2e), which 16 illustrates COMPACT bioelectronics' volumetric stability of their miniaturized size in vivo. In 17 contrast, COMPACT hydrogel fibers incubated at PVA dissolution temperature (100 \(^\circ \mathrm{C}\) ) in water 18 for several hours resumed their pristine swollen size; this volume reversion demonstrates the 19 crystalline impact on size reduction through control of local free volume in hydrogel matrices. 20 This crystalline- dominated hydrogel miniaturization phenomenon can be extended to other semi21 crystalline polymers at different material interfaces, where volumetric stability is important, such 22 as the proton- exchange membrane in packed fuel cells.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 888, 462]]<|/det|>
+In COMPACT hydrogels, chemical cross-linkers and acidification treatment both contribute to the retained volumetric decrease upon re- hydration while mechanical deformation induced the orientated nanocrystalline growth. An increased number of chemical cross- linkers, TEOS (0 wt.% to 4 wt.%, Fig. 1g), enhanced the anchoring of amorphous PVA chains through covalent cross- linking and prevent swelling in the hydrated state. Under the same cross- linking degree, acidification treatment granted polymer chains enhanced interactions and suppressed crystallinity (Fig. 1j and Supplementary Fig. 1 and 7c). Nanocrystalline domains maintained the nanoscale size ( \(\sim 3.5 \mathrm{nm}\) ) without compromising the transmittance in the visible range. Axial mechanical deformation re- orientated nanocrystalline and created anisotropic nanostructures (Fig. 1k), which enabled hydrogel fibers' desired decrease in diameter while causing a minimal effect on crystallinity degree (Supplementary Fig. 1c) or nanocrystalline size (Fig. 1k).
+
+<|ref|>text<|/ref|><|det|>[[111, 486, 888, 894]]<|/det|>
+Controllable hydrogel shrinking provides an effective methodology for miniaturization and integration for neural probe fabrication. The molding and extrusion approaches offer a series of precisely controlled hydrogel fiber diameters with structural homogeneity and low surface asperity to avoid diffuse reflection at the hydrogel interfaces. COMPACT hydrogel fibers' tissue- like mechanical properties exhibit improved immune response compared to stiff silica fibers (Fig. 2d and Supplementary Fig. 14). Although the mold sizes are commercially limited, COMPACT procedures, including regulating polymer and crosslinker constituent content and fiber extensions can expand the range of available fiber sizes. Successive rounds of molding with strong polymer chain infiltration at the interfaces enable the design of multimodal microstructures, including core- cladding (30- 80 \(\mu \mathrm{m}\) ) in step- index optical probes and electrode integration in the cladding layer of optrodes. Currently, the number of integrated components, such as electrodes and microfluidic channels, is limited by the coaxial alignment in the secondary molding step; the accessibility and
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[72, 88, 886, 145]]<|/det|>
+1 throughput of multimodal fabrication can be further improved with guiding devices to facilitate 2 integration and alignment, or alternative coating approaches.
+
+<|ref|>text<|/ref|><|det|>[[110, 173, 886, 440]]<|/det|>
+3 COMPACT strategy is generalizable for soft and stretchable bioelectronics. Polymer matrices 4 provide sufficient free volume for water access as well as nanomaterials' incorporation. High 5 aspect- ratio nanomaterials, such as silver nanowires and carbon nanotubes, can be effectively 6 entangled with polymer chains through cross- linking and condensation during acidification and 7 stretching. This procedure augments electrical conductivity while maintaining viscoelasticity. The 8 colloidal stability of nanomaterials in viscous polymer precursor solutions is important to create a 9 homogeneous composite after cross- linking to prevent phase separation and ensure stable electrical 10 conductivity.
+
+<|ref|>text<|/ref|><|det|>[[110, 467, 886, 875]]<|/det|>
+11 Compared to other soft bioelectronics fabrication approaches, such as lithography and micro- 12 printing, COMPACT technique offers scalable and efficient multimodal hydrogel fibers 13 manufacturing without the need for expensive and sophisticated facilities. COMPACT 14 multifunctional neural probes have been employed for bi- directional optical interrogation 15 concomitant with mouse social behaviors and electrical recordings of light- triggered neural 16 activity in mice. Extended functionalities, such as drug or viral vector delivery, can be further 17 achieved by integrating additional microfluidic channels in the cladding layer and retains light 18 transmission efficiency in the optical core. COMPACT multifunctional neural probes involve 19 independent components alignment and miniaturization steps, which potentiates the integration of 20 multiple components with various lengths to target multiple depths of tissue within single- step 21 implantation. This adaptability will increase the density of functional interfaces and overcome the 22 traditional limitation of fiber- shaped neural probes with single- target interfaces at the tip.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[70, 88, 888, 252]]<|/det|>
+1 Control over semi- crystalline polymers' amorphous- crystalline transition creates a direct fabrication methodology for elastic soft materials. Extending it to the manufacture of sophisticated optoelectronic devices, the COMPACT strategy imparts a generalizable and modular platform for hydrogel bioelectronics' miniaturization and integration, which consequently enables multimodal interrogation of complex biological systems.
+
+<|ref|>sub_title<|/ref|><|det|>[[68, 300, 192, 319]]<|/det|>
+## 7 Methods
+
+<|ref|>text<|/ref|><|det|>[[66, 330, 888, 852]]<|/det|>
+8 Hydrogel synthesis. The chemicals used in this study included tetraethyl orthosilicate (TEOS, 9 Sigma- Aldrich 86578, \(99\%\) ), hydrochloric acid (HCl, Sigma- Aldrich, 258148, \(37\%\) ), glutaraldehyde solution (GA, Sigma- Aldrich G6257, \(25\%\) in water), and polyvinyl alcohol (PVA) with an average molecular weight of 146,000 to 186,000 Da and \(99 + \%\) hydrolyzed (Sigma- Aldrich, 363065). MilliQ water with a resistivity of \(18 \mathrm{M}\Omega \cdot \mathrm{cm}\) at \(25^{\circ}\mathrm{C}\) was used throughout the experiments. To prepare the PVA (10 wt. \(\%\) ) solution, PVA was dissolved in MilliQ water and stirred in a water bath at \(100^{\circ}\mathrm{C}\) for at least 4 hours until a clear and transparent solution was obtained. The hydrolysis of TEOS was carried out using HCl as a catalyst in PVA solutions with a molar ratio of TEOS: HCl: \(\mathrm{H2O} = \mathrm{x}\) : 4: y, where x was between 1 to 4, and y started from 4 to 16. TEOS solutions with concentrations ranging from 2 wt.% to 8 wt.% were added to the PVA solutions, which were then homogenized at two different levels. A mixture of HCl and MilliQ water in a molar ratio of 4: y, where y was in the range of 4 to 16, was added dropwise to the PVA- TEOS emulsion while homogenizing at 12000 rpm using a portable homogenizer until a stable emulsion was formed. The resulting emulsion was further homogenized using a high- speed homogenizer (FSH2A lab). The mixed solutions were stirred in a water bath at \(100^{\circ}\mathrm{C}\) for 1 hour
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[75, 90, 883, 110]]<|/det|>
+until transparent solutions were obtained, followed by an additional 12 hours of stirring at \(60^{\circ}\mathrm{C}\) .
+
+<|ref|>text<|/ref|><|det|>[[75, 126, 696, 144]]<|/det|>
+The composition of all solutions used in this study is provided in Table 1.
+
+<|ref|>table_caption<|/ref|><|det|>[[240, 162, 757, 178]]<|/det|>
+Table.1. TEOS and PVA concentrations of PVA-TEOS solutions
+
+<|ref|>table<|/ref|><|det|>[[115, 177, 880, 295]]<|/det|>
+| TEOS: HCl: H2O (molar ratio) | TEOS wt.% in pre-solutions | HCl wt.% in solutions | PVA wt.% in solutions |
| 1: 4: 4 | 2 | 0.014 | 10 |
| 2: 4: 8 | 4 | 0.014 | 10 |
| 3: 4: 12 | 6 | 0.014 | 10 |
| 4: 4: 16 | 8 | 0.014 | 10 |
+
+<|ref|>text<|/ref|><|det|>[[75, 293, 91, 307]]<|/det|>
+3
+
+<|ref|>text<|/ref|><|det|>[[75, 312, 91, 325]]<|/det|>
+4
+
+<|ref|>text<|/ref|><|det|>[[75, 345, 883, 364]]<|/det|>
+Optical hydrogel probe fabrication. A step-index multimode silica fiber (core diameter 400 μm,
+
+<|ref|>text<|/ref|><|det|>[[75, 379, 883, 398]]<|/det|>
+NA 0.5, Thorlabs FP400URT) was prepared by removing the protective coating using a fiber
+
+<|ref|>text<|/ref|><|det|>[[75, 413, 883, 432]]<|/det|>
+stripping tool (Micro-strip, Micro Electronics, Inc). The stripped fiber was then divided into 13-
+
+<|ref|>text<|/ref|><|det|>[[75, 448, 883, 466]]<|/det|>
+mm segments using a diamond cutter. These fiber segments were inserted and extruded from one
+
+<|ref|>text<|/ref|><|det|>[[75, 482, 883, 501]]<|/det|>
+end of an optical ferrule (bore diameter 400 μm, Thorlabs CFX440-10) with a length of 2.5 mm
+
+<|ref|>text<|/ref|><|det|>[[75, 516, 883, 535]]<|/det|>
+and secured with EccoBond F adhesive (Loctite). Both ends of the silica fibers in the ferrules were
+
+<|ref|>text<|/ref|><|det|>[[75, 551, 883, 570]]<|/det|>
+polished using a polish kit (Thorlabs D50-F, NRS913A, and CTG913). The light transmission of
+
+<|ref|>text<|/ref|><|det|>[[75, 586, 883, 605]]<|/det|>
+all silica fibers and ferrules was tested by coupling with a 470 nm blue light-emitting diode (LED)
+
+<|ref|>text<|/ref|><|det|>[[75, 620, 883, 639]]<|/det|>
+(Thorlabs M470F3) after polishing. To remove the plastic coatings on the extruded silica fibers,
+
+<|ref|>text<|/ref|><|det|>[[75, 655, 883, 674]]<|/det|>
+they were treated with 2M sodium hydroxide solution (Sigma-Aldrich, 1064980500) for 2 hours
+
+<|ref|>text<|/ref|><|det|>[[75, 690, 883, 709]]<|/det|>
+followed by an additional treatment with chloroform (Sigma-Aldrich, 472476) for 30 minutes. A
+
+<|ref|>text<|/ref|><|det|>[[75, 725, 883, 744]]<|/det|>
+thin layer of 10 wt.% PVA was then coated on the extruded silica fibers via dip coating, and the
+
+<|ref|>text<|/ref|><|det|>[[75, 760, 883, 779]]<|/det|>
+PVA-coated silica fibers were air-dried at room temperature for 12 hours and annealed at 100 °C
+
+<|ref|>text<|/ref|><|det|>[[75, 795, 883, 814]]<|/det|>
+for 2 hours. A vacuum planetary mixer (Musashi ARV-310, 2000 rpm, and 16 kPa vacuum) was
+
+<|ref|>text<|/ref|><|det|>[[75, 830, 883, 849]]<|/det|>
+utilized for the mixing and degassing of all solutions. For degassing and mixing, 100 μL of GA
+
+<|ref|>text<|/ref|><|det|>[[75, 865, 883, 884]]<|/det|>
+was added to 10 g of 10 wt.% PVA pre-solution and agitated for 1 minute. 10 g of pre-made PVA-
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[72, 90, 886, 420]]<|/det|>
+1 TEOS solution was also degassed and mixed for 1 minute. Subsequently, the above two solutions were combined (weight ratio of 1:1) and mixed for another minute. The resulting PVA-TEOS-GA solution was infused into silicone tubes (McMaster-Carr 5236k204, 80 mm in length), and the optic ferrules were inserted into the silicone tubes, with the silica fiber end connected to the PVA mixture. After curing at room temperature for 4 hours, the PVA-TEOS-GA fibers were demolded using dichloromethane (DCM, Sigma-Aldrich, 270997, 99.8%) and washed with a large amount of water to remove residual chemicals for two days. Ferrule-connected fibers were air-dried at room temperature for 12 hours and annealed at \(100^{\circ}\mathrm{C}\) for 20 minutes. Finally, the hydrogel fibers were rehydrated with MilliQ water before use. The compositions of all fabricated fibers are listed in Table 2.
+
+<|ref|>table<|/ref|><|det|>[[113, 435, 884, 583]]<|/det|>
+<|ref|>table_caption<|/ref|><|det|>[[238, 439, 761, 456]]<|/det|>
+Table.2. TEOS and PVA concentrations in PVA-TEOS-GA fibers
+
+| Nomenclature | TEOS: HCl: H2O (molar ratio) | TEOS wt.% in fibers | HCl wt.% in fibers | GA wt.% in fibers | PVA wt.% in fibers |
| 10P-1T-GA | 1: 4: 4 | 1 | 0.007 | 0.005 | 10 |
| 10P-2T-GA | 2: 4: 8 | 2 | 0.007 | 0.005 | 10 |
| 10P-3T-GA | 3: 4: 12 | 3 | 0.007 | 0.005 | 10 |
| 10P-1T-GA | 4: 4: 16 | 4 | 0.007 | 0.005 | 10 |
+
+<|ref|>text<|/ref|><|det|>[[68, 585, 88, 600]]<|/det|>
+11
+
+<|ref|>text<|/ref|><|det|>[[66, 614, 886, 878]]<|/det|>
+Core-cladding optical probe fabrication. A vacuum planetary mixer (Musashi ARV- 310, 2000 rpm, and \(16\mathrm{kPa}\) vacuum) was employed for mixing and degassing of all solutions. The optical fiber probes were first dried and then re- inserted into silicone tubing (McMaster- Carr 51845K66) and reswelled in water. For the preparation of the core- cladding optical fiber probes, \(100\mu \mathrm{L}\) of GA was added to \(10\mathrm{g}\) of \(5\mathrm{wt.\%}\) PVA pre- solution, which was then degassed and mixed for 1 minute. Additionally, \(150\mu \mathrm{L}\) of HCl was added to \(10\mathrm{g}\) of \(5\mathrm{wt.\%}\) PVA pre- solution, which was also degassed and mixed for 1 minute. The two solutions were combined (weight ratio of 1:1) and mixed for 1 minute. The resulting mixed solution was infused into the silicone tubing and allowed
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[70, 88, 886, 149]]<|/det|>
+1 to cross- link for 4 hours at room temperature. The core- cladding optical fiber probes were extruded by immersing them in DCM and stored in MilliQ water until further use.
+
+<|ref|>text<|/ref|><|det|>[[70, 193, 886, 655]]<|/det|>
+3 XRD characterization of hydrogel materials. X- ray scattering measurements were conducted using the SAXSLAB GANESHA 300XL instrument, equipped with a Dectris Pilatus 300K 2D CMOS photon counting detector (size: \(83.8 \times 106.5 \mathrm{mm}^2\) ). A small- angle \(2 \mathrm{mm}\) beamstop was utilized for SAXS measurements, while a wide- angle \(2 \mathrm{mm}\) beamstop was employed for WAXS measurements. The exposure time was set at 600 seconds. The average size of the nanocrystalline domain was determined using Scherrer's equation, which is expressed as \(D = \frac{k\lambda}{\beta \cos \theta}\) , where \(k\) is a dimensionless shape factor that varies based on the actual shape of the nanocrystalline domain ( \(k = 1\) , approximating the spherical shape of the nanocrystalline domains), \(\lambda\) is the wavelength of X- ray diffraction ( \(\lambda = 1.54 \mathrm{\AA}\) ), \(\theta\) is the peak of the Bragg angle, and \(\beta\) is the full width at half maximum (FWHM) of the WAXS peaks. The d- spacing between nanocrystalline domains was calculated using \(d = \frac{2\pi}{q_{max}}\) , where \(q_{max}\) is the q value at its maximum intensity from SAXS patterns. The FWHM ( \(\beta\) ) and \(q_{max}\) were obtained by curve fitting of the WAXS and SAXS patterns, respectively, in Origin software (OriginLab Corporation).
+
+<|ref|>text<|/ref|><|det|>[[113, 705, 886, 899]]<|/det|>
+DSC characterization of hydrogel materials. The degree of crystallinity of hydrogel fibers and materials was assessed using a DSC instrument (2920 TA instrument). The PVA hydrogels were analyzed in the desiccated state. A small quantity of sample (1- 15 mg) was loaded into a crucible (TA instrument T81006) and inserted into a temperature- controlled DSC cell. A blank crucible served as a reference. The sample was heated from \(30^{\circ}\mathrm{C}\) to \(300^{\circ}\mathrm{C}\) in air, with a heating rate of \(20^{\circ}\mathrm{C / min}\) . The differential heat flow to the sample and reference was recorded by the instrument.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[70, 88, 888, 320]]<|/det|>
+1 To determine the melting fusion enthalpy of endothermic peaks, heat flow (mW) over sample weight (mg) was plotted against time (s). The areas of melting endothermic peaks were integrated using TA analyze software (TA Universal Analysis). The degree of crystallinity \(\alpha\) was estimated using the equation: \(\alpha = \frac{\Delta H_m}{\Delta H_m} \cdot 100\%\) , where \(\Delta H_m\) (J/g) was calculated from the integration of melting endothermic peaks and \(\Delta H_m\) (150 J/g) was the enthalpy of melting 100% of PVA crystallites. The crystallinity outcomes of PVA samples are presented in Supplementary Table 1.
+
+<|ref|>text<|/ref|><|det|>[[66, 345, 888, 895]]<|/det|>
+8 Hydrogel Refractive Index Measurement. A series of hydrogel membranes were prepared via spin coating using a spin coating instrument (SETCAS, KW- 4A) on silicon (Si) substrates (University Wafer, Inc., Model 447). The Si substrates were cut into square wafers (13.5 mm x 17.5 mm) using a diamond cutter and then subjected to a rigorous cleaning process. The cleaning process involved washing and ultrasonication in Acetone (Sigma- Aldrich 179124, 99.5%) for 3 minutes, followed by rinsing with MilliQ water. The Si wafers were then washed and ultrasonicated in 30 wt.% \(\mathrm{H}_2\mathrm{SO}_4\) solution (Fisher Chemical 210524, 95.0%) for 3 minutes, followed by rinsing with MilliQ water. Finally, the Si wafers were washed and ultrasonicated in 10 wt.% of \(\mathrm{H}_2\mathrm{O}_2\) solution (Sigma- Aldrich 216763, 30 wt.% in water) for 3 minutes, followed by rinsing with 95% ethanol (Fisher Chemical A962P4, 95.0%). The Si wafers were mounted on the spin coater and coated with 10P- GA, 10P- 1T- GA, 10P- 2T- GA, 10P- 3T- GA, and 10P- 4T- GA membranes (n=4 for each group) at 1000 rpm for 10s, and at 5000rpm 50s. PVA solutions used for the membranes were prepared using the same method as discussed previously. After spin- coating, the PVA membrane- coated Si wafers were allowed to cross- link and dry in the air for at least 12 hours and then annealed at 100 °C for 20 minutes. The refractive index (RI) of the PVA membrane- coated Si wafers was measured using an ellipsometer (J.A. Woollam RC2) in the range
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 886, 320]]<|/det|>
+of \(400\mathrm{nm}\) to \(700\mathrm{nm}\) . The measurements were carried out on the membranes in their desiccated states. A series of COMPACT hydrogel membranes (0- 4 wt. \(\%\) TEOS) were prepared using a similar procedure as described above but using a rectangular mold \((21.5\times 21.5\times 1\mathrm{mm})\) . The membranes were demolded after cross- linking, dried at room temperature for 12 hours, and cut into small sheets \((2\times 2\mathrm{mm})\) . The sheets were then annealed at \(100^{\circ}\mathrm{C}\) for 20 minutes and reswelled in MilliQ water for 1 hour. The RI of the membranes in their hydrated states was measured using a refractometer (Sper Scientific 300034) with water used for calibration.
+
+<|ref|>text<|/ref|><|det|>[[111, 368, 886, 771]]<|/det|>
+Hydrogel Absorbance and Fluorescence Measurement. A set of hydrogel membranes (designated as 10P- GA, 10P- 1T- GA, 10P- 2T- GA, 10P- 3T- GA, and 10P- 4T- GA, comprising 4 replicates for each group) were synthesized and cross- linked in a 96- well plate using established techniques. Subsequently, \(1\mathrm{mL}\) of PVA solution was added to each well and allowed to cross- link and air dry for at least 12 hours, followed by annealing at \(100^{\circ}\mathrm{C}\) for 20 minutes. Rehydration of the membranes was achieved by the addition of \(100\mu \mathrm{L}\) of MilliQ water to each well. To obtain transmittance spectra in the range of \(400\mathrm{nm}\) to \(700\mathrm{nm}\) , the 96- well plate was subjected to analysis using a plate reader (Biotek Synergy 2). Autofluorescence measurements were acquired using excitation/emission wavelengths of \(470\mathrm{nm} / 510\mathrm{nm}\) and \(485\mathrm{nm} / 520\mathrm{nm}\) , respectively. Membrane thickness was determined by caliper measurements and recorded three times to normalize the transmittance spectra and autofluorescence readings with respect to thickness. A blank control consisting of \(200\mu \mathrm{L}\) of MilliQ water was included for comparison purposes.
+
+<|ref|>text<|/ref|><|det|>[[112, 822, 884, 876]]<|/det|>
+Mechanical characterization of hydrogel fibers. To ensure consistency, all hydrogel fibers were hydrated prior to the extension test. Tensile tests were conducted using a tensile instrument
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[66, 88, 888, 512]]<|/det|>
+equipped with a 50N load cell (Stable Micro System TA, XT plusC). The fibers were stretched at a constant rate of 1 mm/second. The nominal stress was calculated from the formula \(\sigma = \frac{F}{A}\) , where \(F\) represents the force measured by the instrument, and \(A\) represents the cross-sectional area of the fibers in their hydrated state. The strain was calculated using \(\epsilon = \frac{\Delta L}{L}\) , where \(\Delta L\) represents the displacement and \(L\) represents the initial gauge length. Two marks were labeled on the fibers using a sharpie pen to determine the initial gauge length \(L\) prior to the tensile test. A high-resolution camera was used to capture the entire tensile process and track displacement. The stress-strain curve was generated based on the calculated nominal stress and strain. The elastic moduli (E) were determined by calculating the average slope of the stress-strain relationship in the first \(10\%\) of applied strain. The average slope was determined by linear regression analysis (OriginLab Corporation). The stretchability of the fibers was reported as a percentage of the strain at the fracture point obtained from the stress-strain curves.
+
+<|ref|>text<|/ref|><|det|>[[66, 530, 88, 545]]<|/det|>
+13
+
+<|ref|>text<|/ref|><|det|>[[66, 560, 888, 870]]<|/det|>
+Light attenuation of hydrogel fibers. The light transmission loss of hydrogel fibers was tested by the cutback method. Ferrule- connected hydrogel fibers were inserted into a plastic tube (5 cm in length and 3 mm in diameter) and injected with 1 wt.% agar gel to maintain their hydrated state. The ferrule was connected to a 470 nm LED light (Thorlabs M470F3) via an adaptor (Thorlabs SM1FCM). The power (in dB) of transmitted light through the hydrogel fiber was measured using a power meter (Thorlabs, PM16- 122). The original power reading was recorded, and a 5 mm interval of cutting was adapted. Starting from the far end of the ferrule, the output power was measured after each cut using a cutter. The attenuation coefficient \((\alpha)\) was calculated using the formula \(\alpha = (\frac{10^{4}}{L_{1} - L_{2}}) \cdot \log (\frac{P_{1}}{P_{2}})\) , where \(L_{1}\) and \(L_{2}\) represent the original and cut lengths of the fiber
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[70, 88, 886, 149]]<|/det|>
+in meters, respectively. \(P_{I}\) and \(P_{2}\) are the transmitted power readings before and after the cut, respectively.
+
+<|ref|>text<|/ref|><|det|>[[70, 193, 886, 355]]<|/det|>
+Dimension measurements of hydrogel fibers. Microscopic images of hydrogel fibers were captured using a bright field mode microscope (AmScope) in MilliQ water. Three distinct regions of each fiber, namely two ends and the middle part, were imaged. The diameter of each fiber was measured using ImageJ software, with nine measurements taken for each fiber. The length of the fibers was measured using a caliper, with three measurements taken for each fiber.
+
+<|ref|>text<|/ref|><|det|>[[70, 404, 886, 530]]<|/det|>
+SEM imaging. SEM was performed on dried samples using an FEI Magellan 400 XHR instrument. To analyze the cross- sectional morphology of the integrated hydrogel optrode probe, the probe was sectioned into thin pillars (0.1 mm in height) and subsequently mounted on carbon tape for imaging.
+
+<|ref|>text<|/ref|><|det|>[[70, 578, 886, 670]]<|/det|>
+TEM imaging. The TME images were acquired under a transmission electron microscope (FEI Tecnai 12). The carbon nanotubes were diluted (1:10) in MilliQ water and deposited on a copper grid (Sigma- Aldrich, FCF200- Cu) for imaging.
+
+<|ref|>text<|/ref|><|det|>[[70, 717, 886, 877]]<|/det|>
+Stability tests of hydrogel fibers. The fabricated COMPACT hydrogel fibers (3 wt.% TEOS) were incubated at \(37^{\circ}\mathrm{C}\) under physiological- like solutions (saline, ionic strength 305\~310 mOsm, pH from 6.0 to 8.0) over 3 months to validate the stability of hydrogel materials. The dimensions of fiber were measured before and after the incubation and statistical analysis was performed on the dimensions between pre- incubation and post- incubation each week.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 123, 886, 666]]<|/det|>
+2 Cell culture and biocompatibility tests. The HEK 293FT cell line was maintained in DMEM (with GlutaMax, Sigma Aldrich, D5796) \(+10\%\) fetal bovine serum and seeded in a 24- well plate. COMPACT hydrogel fibers (3 wt.% TEOS) were incubated in DMEM for 24 hours at 37 \(^\circ \mathrm{C}\) . Hydrogel- incubated DMEM was then added to the well plate and incubated for 24 hours. Calcein- AM (green, \(2\mu \mathrm{L}\) of \(1\mathrm{mg / mL}\) per well, Sigma- Aldrich 17783) was added to indicate living cells, and ethidium homodimer- 1 (red, \(2\mu \mathrm{L}\) of \(1\mathrm{mg / mL}\) per well, Sigma- Aldrich 46043) was added to indicate dead cells. A fluorescent microscope (Nikon TiU with SOLA Light Engine Gen III illumination hardware and PCO panda sCMOS camera) was used to take images of cells with and without hydrogel incubation. Image J was utilized to count living cells and dead cells. Cell death rate \((\%)\) was calculated by using the formula: \(death rate (\%) = \frac{dead \text{ cell numbers}}{total \text{ cell numbers}} \cdot 100\%\) .
+
+<|ref|>text<|/ref|><|det|>[[113, 729, 884, 885]]<|/det|>
+19 Virus package. pAAV- hSyn- GCaMP6s- WPRE- SV40 was a gift from The Genetically Encoded Neuronal Indicator and Effector Project (GENIE) and D. Kim (Addgene viral preparation no. 100843- AAV9). AAV9- hSyn- GCaMP6s were prepared in Rao Lab at UMass Amherst with Beckman Coulter Ultracentrifuge Optima XL70 with VTi 50.1 rotor. Before use, the viral vector was diluted to a titer of \(10^{12}\) transducing units per milliliter.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 123, 886, 285]]<|/det|>
+Animals. All animal surgeries were reviewed and approved by the Committee on Animal Care at the University of Massachusetts Amherst. Wild- type (C57BL/6J) mice and Thy1::ChR2- EYFP mice were purchased from the Jackson Laboratory. Mice were given ad libitum access to food and water and were housed at \(24^{\circ}\mathrm{C} \pm 1^{\circ}\mathrm{C}\) , with \(50\%\) relative humidity, and on a 12- h light/12- h dark cycle. All experiments were conducted during the light cycle.
+
+<|ref|>text<|/ref|><|det|>[[70, 300, 88, 315]]<|/det|>
+7
+
+<|ref|>text<|/ref|><|det|>[[110, 333, 888, 844]]<|/det|>
+In vivo hydrogel optical fiber implantation into the mouse brain. C57BL/6J mice were anesthetized using \(1.0\%\) isoflurane administered in a chamber and subsequently secured onto a stereotactic frame (RWD Life Science) with a heating pad to maintain their body temperature. All surgical procedures were conducted in sterile conditions with \(1\%\) isoflurane used to maintain anesthesia. The Allen Brain Atlas was used to align the skull and determine the coordinates for viral injection and fiber implantation, specifically targeting the ventral tegmental area (VTA) at coordinates AP: - 2.95 mm, ML: \(\pm 0.50 \mathrm{mm}\) , DV: - 4.80 mm. An opening was made in the skull using a micro drill (RWD Life Science) at the designated coordinates. A total of \(600 \mathrm{nL}\) of adenosassociated virus (AAV) carrying hSyn::GCaMP6s was injected into the target region via a micro syringe and pump (World Precision Instruments, Micro 4). The viral injection device was held in place in the VTA region for 15 minutes to facilitate virus diffusion. Following fiber probe insertion, the probes were lifted by \(0.1 \mathrm{mm}\) to accommodate for the viral volume. Finally, the fiber probes were secured to the skull using an adhesive (Parkell, C&B METABOND) and reinforced using dental cement (Jet Set- 4). The mice were monitored on the heating pad following removal of isoflurane until they were fully awake.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 90, 888, 425]]<|/det|>
+In vivo optrode device implantation into the mouse brain. Thy1::ChR2- EYFP mice were anesthetized with \(1.0\%\) isoflurane and placed on a stereotactic frame (RWD Life Science) equipped with a heating pad to maintain body temperature. Surgery was conducted under sterile conditions, and \(1\%\) isoflurane was continuously administered to maintain anesthesia. Allen Brain Atlas was utilized to align the skull and establish optrode device coordinates (VTA, AP: - 3.00 mm, ML: + (or - ) 0.45 mm, DV: - 4.80 mm) based on the mouse brain atlas. Prior to optrode implantation, a ground screw was implanted (AP: - 3.50 mm, ML: - (or +) 1.50 mm, DV: - 0.20 mm) and cerebrospinal fluid was contacted with the screw. The optrode devices were fixed on the skull with adhesive (Parkell, C&B METABOND) and reinforced with dental cement (Jet Set- 4). Following the removal of isoflurane, the mice were monitored on the heating pad until fully awakened.
+
+<|ref|>text<|/ref|><|det|>[[112, 472, 888, 876]]<|/det|>
+Fiber photometry recording. Following a four- week recovery period, hSyn::GCaMP6s injected mice were tethered to a fiber photometry (FIP) system using a silica fiber (with a core diameter of \(400 \mu \mathrm{m}\) and a numerical aperture of 0.5, Thorlabs FP400URT). The silica fiber was connected to the FIP system using an adaptor (Thorlabs SM1SMA), and a ferrule (Thorlabs CF440) was fixed to the other end of the fiber. The ferrule was coupled to the implanted fiber probe using a connecting sleeve (Thorlabs ADAF1). The mice were placed in a custom- made chamber \((20 \times 20 \times 20 \mathrm{cm})\) for social preference tests, and fluorescent signals were computed using custom- written Python code. To excite the fluorescent signal, a custom setup consisting of a \(470 \mathrm{nm}\) LED (Thorlabs M470F3), a \(405 \mathrm{nm}\) LED (Thorlabs M405F3), and dichroic mirrors (Thorlabs DMLP425R) were used. Illumination periods were determined by detecting synchronization ON/OFF pulses for each LED, with each illumination containing pulses at \(10 \mathrm{Hz}\). To eliminate moving artifacts, the fitted \(470 \mathrm{nm}\) signals were subtracted from the fitted \(405 \mathrm{nm}\) signals.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 123, 886, 494]]<|/det|>
+Social behavioral assay. For all behavioral experiments, adult C57BL/6 mice implanted with optical fiber probes were utilized during the dark phase of the light/dark cycle and were given at least 30 minutes of acclimatization in the behavior chamber before testing. Adult male C57BL/6 mice aged 5- 6 weeks were used as strangers, and tests were performed in a dark environment. A chamber box \((20 \times 20 \times 20 \mathrm{cm})\) containing a social cage was utilized for social interactions. Subsequently, a novel mouse was introduced to the social zone, and the test mouse was exposed to the novel mouse and allowed to interact freely. Concurrently, GCaMP fluorescence changes were recorded during social tests. A dark- vision camera was installed above the social chamber to record video footage during the social tests. The time spent interacting and the distance of social interaction were analyzed using customized algorithms for social interaction assessment with DeepLabCut. The analyzed social interaction epochs were then correlated with GCaMP signals.
+
+<|ref|>text<|/ref|><|det|>[[111, 541, 886, 877]]<|/det|>
+Immunohistology. The mice were euthanized using fatal plus (Vortech Pharmaceuticals, LTD) and transcardiac perfusion was carried out using \(20 \mathrm{mL}\) of PBS (Sigma- Aldrich P3813) solution followed by \(20 \mathrm{mL}\) of \(4\%\) paraformaldehyde (PFA, Sigma- Aldrich 8187151000) solution. The brains were then dissected from the bodies and fixed in \(4\%\) PFA solution at \(4^{\circ} \mathrm{C}\) overnight. After fixation, the brain tissues were treated with \(30\%\) sucrose in PBS for 2 days and subsequently frozen at \(- 20^{\circ} \mathrm{C}\) in an O.C.T. cube \((21.5 \times 21.5 \times 22 \mathrm{mm})\) and sectioned on a cryostat (Leica CM1900) with a thickness of \(20 \mu \mathrm{m}\) . The sectioned tissues were then permeabilized in PBST (0.3% Triton- X- 100 in PBS, Sigma- Aldrich 93443) for 15 minutes at room temperature and blocked with \(1\%\) bovine serum albumin in PBS (Sigma- Aldrich A9647) for 30 minutes prior to staining. Primary antibody solutions (Iba1 Rabbit and GFAP Rabbit, Agilent Dako, Z0334, at a dilution of 1:400 in
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[67, 88, 888, 425]]<|/det|>
+1 PBS) were applied to stain the tissues and incubated overnight at room temperature. After washing the tissues with PBS three times, secondary antibody solutions (GFAP: Thermo Fisher Scientific, Donkey anti-Rabbit IgG (H+L) Highly Cross-Absorbed Secondary Antibody Alexa Fluor 488 Invitrogen, #A- 21206; Iba1: Thermo Fisher Scientific, Donkey anti-Rabbit IgG (H+L) Highly Cross-Absorbed Secondary Antibody Alexa Fluor 555, # A- 31572; dilution: 1:200 in PBS) were applied and incubated at room temperature for 2 hours. The tissues were then washed with PBS three times and mounted on glass slides. DAPI mounting medium (Southernbiotech, Fluoromount- G, Cat. No. 0100- 01) was used to mount the coverglass on top of the glass slide with the sections. The slides were left to dry in air at room temperature overnight before images were acquired using a confocal microscope (Leica SP2).
+
+<|ref|>text<|/ref|><|det|>[[66, 475, 888, 632]]<|/det|>
+Electromyography. EMG signals were recorded from the gastrocnemius muscle with one reference needle electrode, one hydrogel working electrode ( \(287 \pm 14 \mu \mathrm{m}\) ) and one ground electrode. A 473 nm laser (200 mW/mm \(^2\) , 0.5 Hz, pulse width 50ms) was used for transdermal optical stimulation. EMG data triggered by optogenetic activation were collected through a DAM50 system.
+
+<|ref|>text<|/ref|><|det|>[[66, 682, 888, 876]]<|/det|>
+In vivo electrophysiology. Electrophysiological recordings were performed by connecting the pin connectors of optrode devices to a DAM50 recording system. Optical illumination was carried out using a 473 nm laser connected to the implanted optrode devices via a ferrule-sleeve-ferrule connecting system. The laser ( \(10 \mathrm{mW / mm}^2\) ) was pulsed at a frequency of 0.5 Hz with a pulse width of 50 ms during optical stimulation. Signals were sampled at 50 kHz and filtered between 1- 1000 Hz. The amplitude and noise level of evoked potentials were analyzed using a MATLAB algorithm.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[115, 126, 261, 145]]<|/det|>
+## Code availability
+
+<|ref|>text<|/ref|><|det|>[[115, 159, 884, 214]]<|/det|>
+The custom code used in this study is available from the corresponding author upon reasonable request.
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 230, 258, 249]]<|/det|>
+## Data availability
+
+<|ref|>text<|/ref|><|det|>[[115, 263, 884, 319]]<|/det|>
+The data supporting the findings of this study are available from the corresponding author upon reasonable request.
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 334, 272, 353]]<|/det|>
+## Acknowledgments
+
+<|ref|>text<|/ref|><|det|>[[111, 366, 886, 635]]<|/det|>
+We thank D. Kim and P. Anikeeva for the generous gifts of the plasmids and cell lines, Y. Liu for his assistance on electrochemical characterization, H. Kim for her assistance on mechanical property characterization and R. Chen for his thoughtful comments on our manuscript. This work was funded in part by the UMass Amherst Faculty Research Grant (P1FRG0000000295), the Brain&Behavior Research Foundation Young Investigator Grant (29878) and the National Institutes of Health (R00MH120279). This work made use of the UMass Amherst core facilities of Electron Microscopy, Light Microscopy, Raman, IR and XRF Spectroscopy, Roll- to- Roll Fabrication and Processing, and X- Ray Scattering, and Animal Care Service.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[161, 100, 840, 910]]<|/det|>
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 88, 888, 776]]<|/det|>
+Figure 1. COMPACT strategy for hydrogel materials miniaturization. a, Schematic illustrations of hydrogel network of metamorphic polymers' amorphous-crystal transition (COMPACT). COMPACT treatment includes cross-linking with both glutaraldehyde (GA) and tetraethyl orthosilicate (TEOS), acidification and mechanical stretching. b-e, Representative photographs and water contents of TEOS-GA cross-linked polyvinyl alcohol (PVA) hydrogel with COMPACT treatment (+) and GA cross-linked hydrogel without acidification and stretching (- ) at the pristine state (b), desiccated state (c) and re-hydrated state (d). Grid size: 5 mm. f, Shrinking behaviors of TEOS-GA cross-linked PVA (4 wt.% TEOS) hydrogel film with acidification treatment. Film thickness is quantified as mean \(\pm\) standard deviation (s.d., paired student's t-test, \(\mathrm{***p = 0.0004}\) ). Each dot represents one individual film. g, Shrinking behaviors of COMPACT hydrogel fibers (1-4 wt.% TEOS and 200% stretching). Hydrogel fibers' length (black) and diameter (red) are quantified as mean \(\pm\) s.d. Each dot represents one independent fiber. h, Shrinking behaviors of cross-linked hydrogel cylinders. The volume of TEOS-GA cross-linked hydrogel cylinders (4 wt.% TEOS) and with acidification treatment and GA cross-linked hydrogel cylinders without acidification treatment are compared with mean \(\pm\) s.d. (unpaired student's t-test, \(\mathrm{F}_{3,3} = 6.084\) , \(\mathrm{*p = 0.0161}\) ). Each dot represents one independent hydrogel cylinder. i, Fourier transform infrared (FTIR) spectroscopy of COMPACT (- ) and COMPACT (+) hydrogels. j, Differential scanning calorimetry (DSC) profiles of COMPACT (- ) and COMPACT (+) and their crystallinity percentages. k, Small-angle X-ray (SAXS) and wide-angle X-ray (WAXS) results of hydrogel materials in the desiccated state (mean \(\pm\) s.d.). Inset: SAXS and WAXS 2D patterns.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[223, 90, 772, 535]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[113, 549, 884, 570]]<|/det|>
+Figure 2. Controllable hydrogel fiber fabrication and its properties. a, A shrinking diagram
+
+<|ref|>text<|/ref|><|det|>[[70, 580, 886, 884]]<|/det|>
+of COMPACT \((+)\) hydrogel fibers. Each dot (mean \(\pm\) s.d.) represents an independent hydrogel fiber sample. The samples shaded in red areas are treated with acidification. b, Shrinking behaviors of COMPACT hydrogel fibers (4wt.% TEOS) prepared in different sizes of molds. Each dot (mean \(\pm\) s.d.) represents one independent fiber (one(One- way ANOVA and Tukey's multiple comparisons test, \(\mathrm{F}_{3,12} = 0.9543\) , n.s.: not significant. \(\mathrm{p} = 0.4455\) ). c, COMPACT hydrogel fibers' optical properties of refractive index (blue) and normalized light transmittance (red) (mean \(\pm\) s.d). Inset: representative photographs of 0 wt.% TEOS and 4 wt.% TEOS hydrogel membranes. Grid size: 1 mm. d, COMPACT hydrogel fibers' mechanical properties of elastic modulus (blue) and stretchability percentage (red). Each dot represents one independent fiber sample. One- way
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[72, 88, 888, 360]]<|/det|>
+1 ANOVA and Tukey's multiple comparisons test were used to determine the statistical significance of elastic modulus: \((\mathrm{F}_{4,15} = 20.51\) , \*\*\*\*p<0.0001; and stretchability: \((\mathrm{F}_{4,15} = 1.492\) , n.s. p=0.2543), respectively. e, Stability assessment of diameter reduction of COMPACT hydrogel fibers (3wt.% TEOS). Each dot (mean \(\pm\) s.d.) represents one independent fiber (two-way ANOVA and Tukey's multiple comparisons tests). f, Cytotoxicity assessment of COMPACT (+) hydrogels. Hydrogel incubated media was used to culture with HEK293 cell cultures. Calcein-AM (green) was used to stain living cells and ethidium homodimer-1 (red) was used to stain dead cells. Cell death rates are presented as mean \(\pm\) standard error (s.e.m., unpaired student's t-test).
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[180, 90, 815, 800]]<|/det|>
+
+<|ref|>image<|/ref|><|det|>[[201, 792, 816, 912]]<|/det|>
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[67, 88, 888, 567]]<|/det|>
+1 Figure 3. Hydrogel optical neural probes for photometric recording with behavioral assessment. a, A schematic illustration of light transmission in a step- index hydrogel fiber. b, 3 Schematic illustrations and representative photographs of a COMPACT core hydrogel fiber, a 4 COMPACT core- plain- cladding hydrogel fiber, and a COMPACT core- rGO- cladding fiber. Scale: 5 \(200\mu \mathrm{m}\) . c, Representative photographs of blue light (480 nm) transmission from a COMPACT (- ) 6 core hydrogel fiber and a COMPACT (+) core hydrogel fiber into solutions containing Calcein 7 fluorescent dye. d, Light attenuation coefficients of COMPACT core hydrogel fibers, COMPACT 8 core- plain- cladding hydrogel fibers, and COMPACT core- rGO- cladding fibers (mean \(\pm\) s.d., one- 9 way ANOVA and Tukey's multiple comparisons test, \(\mathrm{F}_{2,9} = 13.3\) , \(\mathrm{**p = 0.0021}\) ). Each dot presents 10 one independent hydrogel fiber sample. e, Experimental scheme for the viral injection, optical 11 fiber implantation, photometric recording and social behavior tests. f, Representative images in 12 mouse social interaction tests. g, A schematic illustration of fiber photometry recording setup with 13 concurrent mouse social behavior tests. h, Normalized fluorescence intensity change \((\Delta \mathrm{F} / \mathrm{F}_{0})\) of 14 GCaMP6s in the VTA from mice social interactions. Blue bars indicate social interaction time.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[145, 88, 852, 920]]<|/det|>
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 87, 888, 848]]<|/det|>
+Figure 4. Integrated multifunctional hydrogel neural probes. a, A Representative photograph of a carbon nanotube (CNT)- PVA hydrogel electrode as compared with a piece of human hair. Scale: \(300 \mu \mathrm{m}\) . b, A transmission electron microscopy (TEM) image of CNTs. Scale: \(200 \mathrm{nm}\) . c, Impedance at \(1 \mathrm{kHz}\) (red dots) and diameters of the electrodes (blue dots) fabricated different stretching percentages (mean \(\pm\) s.d.). Each dot represents one independent hydrogel electrode. d, Impedance at \(1 \mathrm{kHz}\) of electrodes fabricated with different CNT concentrations (mean \(\pm\) s.d.). Each dot represents one independent hydrogel electrode. e, Impedance at \(1 \mathrm{kHz}\) of electrodes (red dots) and diameters of the electrode (blue dots) fabricated with different sizes of molds (mean \(\pm\) s.d.). Each dot represents one independent hydrogel electrode. f, Stability assessment on impedance (red dots) and diameters (blue dots) of hydrogel electrodes (mean \(\pm\) s.d.). Each dot represents one independent hydrogel electrode. g, A schematic illustration of electrical recordings from mouse gastrocnemius muscles with a CNTs- PVA electrode in the presence of transdermal optical stimulation. h, Representative EMG signals recorded with CNT- PVA hydrogel electrodes upon transdermal optogenetic stimulations in Thy1::ChR2- EYFP mice ( \(\lambda = 473 \mathrm{nm}\) , \(0.5 \mathrm{Hz}\) , pulse width \(50 \mathrm{ms}\) , \(200 \mathrm{mW / mm}^2\) ). Blue bars indicate the light illumination periods. i, Overlay plot of EMG peaks. j, A scanning electron microscopy (SEM) image at the cross- section of an integrated multifunctional neural probe containing an optical core and two CNT- PVA hydrogel electrodes. Scale: \(100 \mu \mathrm{m}\) . k- l, Photographs of a hydrogel optoelectronic device (optrode) before implantation and after implantation in a Thy1::ChR2- EYFP mouse brain. Scale: \(2 \mathrm{mm}\) . m, Confocal images of the expression of ChR2- EYFP in the VTA region of mouse. Scale: \(50 \mu \mathrm{m}\) . n, Representative in vivo electrophysiological signals recorded with optrodes upon optical stimulation (blue bars, \(\lambda = 473 \mathrm{nm}\) , \(0.5 \mathrm{Hz}\) , pulse width \(50 \mathrm{ms}\) , \(10 \mathrm{mW / mm}^2\) ). l, Amplitudes of electrophysiological signals
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[75, 88, 884, 110]]<|/det|>
+1 recorded with optical stimulation on day 3, day 5, day 7, and day 14 post-implantation ( \(\lambda = 473 \mathrm{nm}\) ,
+
+<|ref|>text<|/ref|><|det|>[[75, 123, 565, 144]]<|/det|>
+2 0.5 Hz, pulse width 50 ms, 10 mW/mm², mean ± s.e.m.).
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[68, 90, 204, 110]]<|/det|>
+## 1 Reference
+
+<|ref|>text<|/ref|><|det|>[[66, 120, 890, 884]]<|/det|>
+1.1 Park, S. Il et al. Soft, stretchable, fully implantable miniaturized optoelectronic systems for wireless optogenetics. Nat. Biotechnol. 33, 1280–1286 (2015). 4.2 Lu, C. et al. Flexible and stretchable nanowire-coated fibers for optoelectronic probing of spinal cord circuits. Sci. Adv. 3, (2017). 6.3 Yang, Q. et al. High-speed, scanned laser structuring of multi-layered eco/bioresorbable materials for advanced electronic systems. Nat. Commun. 13, 6518 (2022). 8.4 Park, S. et al. Adaptive and multifunctional hydrogel hybrid probes for long-term sensing and modulation of neural activity. Nat. Commun. 12, 3435 (2021). 10.5 Tringides, C. M. et al. Viscoelastic surface electrode arrays to interface with viscoelastic tissues. Nat. Nanotechnol. 16, 1019–1029 (2021). 12.6 Wu, Y. et al. Wireless multi-lateral optofluidic microsystems for real-time programmable optogenetics and photopharmacology. Nat. Commun. 13, 5571 (2022). 14.7 Kathe, C. et al. Wireless closed-loop optogenetics across the entire dorsoventral spinal cord in mice. Nat. Biotechnol. 40, 198–208 (2022). 16.8 Yoon, Y. et al. Neural probe system for behavioral neuropharmacology by bi-directional wireless drug delivery and electrophysiology in socially interacting mice. Nat. Commun. 13, 5521 (2022). 19.9 Bonaccini Calia, A. et al. Full-bandwidth electrophysiology of seizures and epileptiform activity enabled by flexible graphene microtransistor depth neural probes. Nat. Nanotechnol. 17, 301–309 (2022). 22.10 Canales, A. et al. Multifunctional fibers for simultaneous optical, electrical and chemical interrogation of neural circuits in vivo. Nat. Biotechnol. 33, 277–284 (2015).
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+11. Li, J. et al. A tissue-like neurotransmitter sensor for the brain and gut. Nature 606, 94–101 (2022).
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+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[72, 88, 888, 530]]<|/det|>
+1 Nature 491, 212- 217 (2012). 2 35. Markovic, T. et al. Pain induces adaptations in ventral tegmental area dopamine neurons to 3 drive anhedonia-like behavior. Nat. Neurosci. 24, 1601- 1613 (2021). 4 36. Gunaydin, L. A. et al. Natural Neural Projection Dynamics Underlying Social Behavior. 5 Cell 157, 1535- 1551 (2014). 6 37. Kim, C. K. et al. Simultaneous fast measurement of circuit dynamics at multiple sites across 7 the mammalian brain. Nat. Methods 13, 325- 328 (2016). 8 38. Freedman, B. R. et al. Enhanced tendon healing by a tough hydrogel with an adhesive side 9 and high drug- loading capacity. Nat. Biomed. Eng. 6, 1167- 1179 (2022). 10 39. Law, S. S. Y. et al. Polymer- coated carbon nanotube hybrids with functional peptides for 11 gene delivery into plant mitochondria. Nat. Commun. 13, 2417 (2022). 12 40. Gao, F., Viry, L., Maugey, M., Poulin, P. & Mano, N. Engineering hybrid nanotube wires 13 for high- power biofuel cells. Nat. Commun. 1, 2 (2010).
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[44, 42, 311, 70]]<|/det|>
+## Supplementary Files
+
+<|ref|>text<|/ref|><|det|>[[44, 93, 765, 113]]<|/det|>
+This is a list of supplementary files associated with this preprint. Click to download.
+
+<|ref|>text<|/ref|><|det|>[[60, 130, 353, 150]]<|/det|>
+SupplementaryInformation.pdf
+
+<--- Page Split --->
diff --git a/preprint/preprint__02ed829a2b0d25d6841e8c42a5b49a127bb3f49651373ce20617894c907bc9bb/images_list.json b/preprint/preprint__02ed829a2b0d25d6841e8c42a5b49a127bb3f49651373ce20617894c907bc9bb/images_list.json
new file mode 100644
index 0000000000000000000000000000000000000000..183977bef6be03f412132e61195a0382fb4baa77
--- /dev/null
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@@ -0,0 +1,47 @@
+[
+ {
+ "type": "image",
+ "img_path": "images/Figure_1.jpg",
+ "caption": "Fig. 1 Isolation and characterization of human H7N9 mAbs in vitro. (A) FACS depicting the staining and selection of H7-specific B cells from donor H7N9.HK2013 PBMCs 1 year post recovery. SSC-A, side scatter area; FSC-A, forward scatter area. (B) ELISA binding curves of the indicated mAbs to soluble recombinant H7N9 HA and H7N7 HA (upper panels), with or without Endo H treatment, to the matching H7N9 HA1 from 2013 or HA1s from 2016 and 2017 (middle panels), and to 6 other non-H7 HA or HA1 proteins (lower panels). (C) Neutralization curves of H7.HK mAbs against H7N9 2013 (left) and 2016 (right) pseudoviruses infecting MDCK cells. Data shown are mean \\(\\pm\\) SEM.",
+ "footnote": [],
+ "bbox": [
+ [
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+ 95,
+ 876,
+ 732
+ ]
+ ],
+ "page_idx": 31
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_2.jpg",
+ "caption": "Fig. 2 Structural analysis of H7.HK1 and H7.HK2 in complex with H7 HA trimer. (A) Cryo-EM structures of H7.HK1 and H7.HK2 bound to H7 HA in the head region. (B) Top view of alignment of H7.HK1 and H7.HK2 complex structures. (C) Surface presentation of the H7.HK1 epitope (orange) on H7 HA1, with interacting CDRs shown. (D) H7.HK1 heavy chain forms seven hydrogen bonds and one salt bridge with H7 HA1. (E) H7.HK1 light chain forms one additional hydrogen bond with H7 HA1, and the interactions are stabilized by hydrophobic residues on the periphery of the light chain interface. (F) Modeling published structures of H7 HA1-binding antibodies (PDB: 6I14, 6I18, 6I19, 5V2A) onto the H7.HK1 bound structure, with an escape mutation R47K (green) reported for mAb 07-5F01. (G) Modeling the binding site of human receptor analogue LSTc (red) based on a previous crystal structure (PDB: 4BSE) onto H7 from the H7.HK1 complex, showing that H7.HK1 does not compete with sialic acid on the adjacent protomer (black). (H) Alignment of the H7.HK1 complex with a previous crystal structure of H7 (PDB: 4BSE) shows that the 220-loop (pink) required for sialic acid binding (G209-G219) is disorder in the complex structure and would clash with the H7.HK1 light chain if it were present. Green asterisk symbol denotes the \\(< 2\\) Å clash between the CDR L1 N33 and the predicted location of P212 on HA1.",
+ "footnote": [],
+ "bbox": [
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+ ]
+ ],
+ "page_idx": 32
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_3.jpg",
+ "caption": "Fig. 3 Prophylactic and therapeutic effects of human H7N9 mAbs in mice i.n. challenged with 10 LD50 of A/Anhui/1/2013 H7N9. (A) Mice were i.p. injected with 100 μg (equivalent of 5 mg/kg) or 20 μg (equivalent of 1 mg/kg) of the indicated mAbs (as human IgG1 unless otherwise specified) one day before viral challenge; % survival (less than 20% weight loss) and % body weight of survived mice were plotted over time. (B) Mice were i.p. injected with 100 μg of the indicated mAbs one day after viral challenge; % survival and % body weight of survived mice were plotted over time. Arrows indicate the time when mAbs were administered. Control groups of a non-H7 placebo mAb and PBS were included. Data for each group were combined from 1-2 experiments and shown as mean – SEM. Asterisk symbols denote statistical significance with \\(P\\) values \\(< 0.05\\) .",
+ "footnote": [],
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+]
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+
+# Allosteric Neutralization by Human H7N9 Antibodies
+
+Xueling Wu xu2702@cumc.columbia.edu
+
+Columbia University https://orcid.org/0000- 0002- 9752- 3734
+
+Manxue Jia
+
+Aaron Diamond AIDS Research Center
+
+HanJun Zhao
+
+The University of Hong Kong https://orcid.org/0009- 0001- 9014- 6972
+
+Nicholas Morano
+
+Department of Biochemistry, Zuckerman Mind Brain Behavior Institute, Columbia University
+
+Hong Lu
+
+Aaron Diamond AIDS Research Center, Columbia University Vagelos College of Physicians and Surgeons
+
+Yin- Ming Lui
+
+State Key Laboratory for Emerging Infectious Diseases, Carol Yu Centre for Infection, Department of Microbiology, School of Clinical Medicine, Li Ka Shing Faculty of Medicine, University of Hong Kon
+
+Haijuan Du
+
+Vaccine Research Center, National Institute of Allergy and Infectious Diseases, National Institutes of Health
+
+Jordan Becker
+
+Department of Biochemistry, Zuckerman Mind Brain Behavior Institute, Columbia University
+
+Kwok- Yung Yuen
+
+The University of Hong Kong https://orcid.org/0000- 0002- 2083- 1552
+
+David Ho
+
+Columbia University Irving Medical Center https://orcid.org/0000- 0003- 1627- 149X
+
+Peter Kwong
+
+Vaccine Research Center, National Institute of Allergy and Infectious Diseases https://orcid.org/0000- 0003- 3560- 232X
+
+Lawrence Shapiro
+
+Department of Biochemistry, Zuckerman Mind Brain Behavior Institute, Columbia University
+
+Kelvin Kai- Wang To
+
+The University of Hong Kong https://orcid.org/0000- 0002- 1921- 5824
+
+<--- Page Split --->
+
+## Article
+
+## Keywords:
+
+Posted Date: November 7th, 2023
+
+DOI: https://doi.org/10.21203/rs.3.rs- 3429355/v1
+
+License: © This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+Additional Declarations: Yes there is potential Competing Interest. An U.S. provisional patent titled "Human Protective Neutralizing and Non-neutralizing Antibodies and Their Use against Influenza Viruses" was filed with filing No. 63/578,505 and XW, MJ, NCM, HL, DDH, KY, KKT, PDK, and LS as co- inventors.
+
+Version of Record: A version of this preprint was published at Nature Communications on May 27th, 2024. See the published version at https://doi.org/10.1038/s41467- 024- 48758- 4.
+
+<--- Page Split --->
+
+# Allosteric Neutralization by Human H7N9 Antibodies
+
+Manxue Jia \(^{1\dagger}\) , Hanjun Zhao \(^{2,3\dagger}\) , Nicholas C. Morano \(^{4,5\dagger}\) , Hong Lu \(^{1,5}\) , Yin- Ming Lui \(^{2}\) , Haijuan Du \(^{6}\) , Jordan E. Becker \(^{4,5}\) , Kwok- Yung Yuen \(^{2,3,7}\) , David D. Ho \(^{1,5}\) , Peter D. Kwong \(^{4,6}\) , Lawrence Shapiro \(^{4,5}\) , Kelvin Kai- Wang To \(^{2,3,7*}\) , Xueling Wu \(^{1,5*}\)
+
+5
+
+\(^{1}\) Aaron Diamond AIDS Research Center, Affiliate of Rockefeller University, New York, NY 10016, USA.
+
+\(^{2}\) State Key Laboratory for Emerging Infectious Diseases, Carol Yu Centre for Infection, Department of Microbiology, School of Clinical Medicine, Li Ka Shing Faculty of Medicine,
+
+10 University of Hong Kong, Pokfulam, Hong Kong Special Administrative Region, China.
+
+\(^{3}\) Centre for Virology, Vaccinology and Therapeutics, Hong Kong Science and Technology Park, Sha Tin, Hong Kong Special Administrative Region, China.
+
+\(^{4}\) Department of Biochemistry, Zuckerman Mind Brain Behavior Institute, Columbia University, New York, NY 10027, USA.
+
+15 \(^{5}\) Aaron Diamond AIDS Research Center, Columbia University Vagelos College of Physicians and Surgeons, New York, NY 10032, USA.
+
+\(^{6}\) Vaccine Research Center, National Institute of Allergy and Infectious Diseases, National Institutes of Health, Bethesda, MD 20892, USA.
+
+\(^{7}\) Department of Clinical Microbiology and Infection, University of Hong Kong- Shenzhen Hospital, Shenzhen, Guangdong, China.
+
+\(^{7}\) These authors contributed equally to this work.
+
+\(^{*}\) Correspondence to: Xueling Wu (email: xw2702@cumc.columbia.edu) Kelvin Kai- Wang To (email: kelvinto@hku.hk)
+
+<--- Page Split --->
+
+Abstract: The avian influenza A virus H7N9 causes severe human infections with more than \(30\%\) fatality despite the use of neuraminidase inhibitors. Currently there is no H7N9- specific prevention or treatment for humans. From a 2013 H7N9 convalescent case occurred in Hong Kong, we isolated four H7 hemagglutinin (HA)- reactive monoclonal antibodies (mAbs) by single B cell cloning, with three mAbs directed to the HA globular head domain (HA1) and one to the HA stem region (HA2). Two clonally related HA1- directed mAbs, H7.HK1 and H7.HK2, potently neutralized H7N9 and protected mice from a lethal H7N9/AH1 challenge. Cryo- EM structures revealed that H7.HK1 and H7.HK2 bind to a \(\beta 14\) - centered surface partially overlapping with the antigenic site D of HA1 and disrupt the 220- loop that makes hydrophobic contacts with sialic acid on the adjacent protomer, thus affectively blocking viral entry. The more potent mAb H7.HK2 retained full HA1 binding and neutralization capacity to later H7N9 isolates from 2016- 2017, which is consistent with structural data showing that the antigenic mutations of 2016- 2017 from the 2013 H7N9 only occurred at the periphery of the mAb epitope. The HA2- directed mAb H7.HK4 lacked neutralizing activity but protected mice from the lethal H7N9/AH1 challenge when engineered to mouse IgG2a enabling Fc effector function in mice. Used in combination with H7.HK2 at a suboptimal dose, H7.HK4 augmented mouse protection. Our data demonstrated an allosteric mechanism of mAb neutralization and augmented protection against H7N9 when a HA1- directed neutralizing mAb and a HA2- directed non- neutralizing mAb were combined.
+
+<--- Page Split --->
+
+## INTRODUCTION
+
+H7N9 is an avian influenza A group 2 virus first transmitted to humans in the spring of 2013 most likely through live poultry market exposure in China (1- 3). The virus reemerged in the fall of 2013 and in the winter of later years, with the largest epidemic reported as the \(5^{\mathrm{th}}\) wave in 5 2016- 2017 (4- 6). Though there is limited evidence for human- to- human transmission, few mutations in the hemagglutinin (HA) gene of the virus might be sufficient to overcome its inefficiency for human transmission (7- 10). Like other influenza virus infections, the most common treatment against H7N9 is the neuraminidase inhibitor oseltamivir, but oseltamivir- resistant strains have emerged (11- 13). Intravenous (i.v.) zanamivir, though not clinically approved, has been used on a compassionate basis in some severe cases because of favorable pharmacokinetics and in vitro susceptibility against oseltamivir- resistant strains (14, 15); however, the effectiveness of i.v. zanamivir against H7N9 has not been validated in large clinical trials. Despite the use of neuraminidase inhibitors, H7N9 case- fatality rate remains higher than \(30\%\) , and currently there is no licensed vaccine against H7N9 for humans. An endonuclease inhibitor baloxavir marboxil, targeting the virus polymerase acid, protected mice from lethal H7N9 challenge (16), but treatment for human H7N9 infection with this inhibitor has not been reported. Concerns for a major outbreak and lack of effective treatment warrant further studies to identify and develop human monoclonal antibodies (mAbs) with potent antiviral functions against H7N9.
+
+Because HA is the major target for influenza neutralizing antibodies, H7- reactive human mAbs have been isolated and characterized from H7N9 acute infections (17), convalescent cases (18), and H7N9 experimental vaccines (19- 21). The binding sites of these mAbs have been mapped to the HA globular head (HA1) and stem (HA2) domains. A subset of HA1- directed mAbs
+
+<--- Page Split --->
+
+potently neutralized H7N9 and protected mice from H7N9 challenges at doses of 0.3, 1, 5 mg/kg or higher (17- 20). These HA1- directed mAbs typically neutralized H7N9 by direct interference with or around the receptor (sialic acid) binding site (17, 19, 22). These epitopes correspond to the antigenic sites of A and B as previously mapped on the surface of H3 HA (23- 25). Of note, significant antigenic drift has been documented in the HA gene of 2016- 2017 H7N9 from the initial 2013 isolates (17, 26, 27). For example, Huang et al isolated 17 neutralizing mAbs from four cases infected in 2013 and 2014, yet only three of these mAbs were active against viral isolates from 2016- 2017 (17). A broad mAb FluA- 20 targeting the HA1 trimer interface did not mediate neutralization in vitro, but protected mice from viral challenges by disrupting HA trimers and inhibiting cell- to- cell spread of virus (21). HA2- directed mAbs typically lacked neutralizing activity, yet a few of them protected mice from H7N9 challenges at 5 mg/kg (20), especially when the mAbs were engineered as mouse IgG2a that has the highest Fc- mediated effector functions in mouse (28). These studies have not tested the combination of two or more mAbs that target different regions of H7N9 HA.
+
+15
+
+In the post COVID- 19 era, preparedness for future pandemics has risen with high enthusiasm. We aim to facilitate the development of human mAbs against H7N9, which has been considered one of the most serious pandemic threats. We have obtained peripheral blood mononuclear cells (PBMCs) from a 2013 H7N9 convalescent case in Hong Kong with the virus isolated as A/Hong Kong/470129/2013 H7N9 (14). The course of this infection lasted for about one month and the treatment required extracorporeal membrane oxygenation (ECMO) and i.v. zanamivir (14). Development of plasma neutralizing antibodies was evident at recovery. The PBMC sample we used to isolate mAbs was collected one year post recovery.
+
+<--- Page Split --->
+
+## RESULTS
+
+## H7-reactive mAb isolation
+
+For H7- specific mAb isolation, we purchased a soluble recombinant H7 HA protein based on A/Shanghai2/2013 H7N9 for biotinylation, followed by streptavidin- PE conjugation. With this H7- PE bait, we stained 5 million PBMCs from the H7N9_HK2013 donor and sorted a total of 68 \(\mathrm{IgG^{+}B}\) cells (defined as \(\mathrm{CD3^{+}CD19^{+}CD20^{+}IgG^{+}}\) ) that are H7- PE+ (Fig. 1A). Most of the sorted cells were at the borderline of H7- PE staining, but a few stained brightly for H7- PE. From the sorted B cells, we performed single B cell RT- PCR and recovered four H7- reactive mAbs – namely, H7.HK1, H7.HK2, H7.HK3, and H7.HK4.
+
+Measured by ELISA, the four reconstituted mAbs bound tightly to the H7N9 HA antigen used for H7- PE staining and to a recombinant H7N7 HA antigen based on A/Netherlands/219/2003 H7N7 (Fig. 1B, upper panels). Pre- treating the H7N9 HA with Endoglycosidase H (Endo H) had no effect on the mAb binding profiles, indicating that these mAbs do not rely on H7 glycans for binding (Fig. 1B, upper panels). After switching the ELISA coating antigen to HA1 of the matching H7N9 HA from A/Shanghai2/2013, the binding curves of H7.HK1, H7.HK2, and H7.HK3 were fully retained, indicating that these mAbs bind to the globular head domain HA1; in contrast, H7.HK4 lost binding to H7N9 HA1, indicating that its binding epitope is likely located in the HA2 stem domain (Fig. 1B, middle panels). Because of the documented antigenic drift for 2016- 2017 H7N9 isolates, we also tested the mAb binding to HA1s from A/Guangdong/17SF003/2016 H7N9 and A/Hong Kong/125/2017 H7N9. The binding curves of H7.HK1, H7.HK2, and H7.HK3 to both 2016 and 2017 HA1s were fully retained, and H7.HK4 did not bind to any HA1s (Fig. 1B, middle panels). Additionally, we tested these mAbs for binding to 6 other non- H7 HA proteins. Though H7.HK1 and H7.HK2 did not react with any non- H7 HA,
+
+<--- Page Split --->
+
+H7.HK3 cross- reacted with H15N8 HA, and H7.HK4 cross- reacted with H10N8 and H15N8 HAs (Fig. 1B, lower panels), which sequence- wise are the closest to H7 in group 2 influenza HA genes (29).
+
+## 5 H7-reactive mAb neutralization
+
+Using expression plasmids separately encoding H7 and N9 genes from A/Shanghai/4664T/2013 to pseudotype with HIV- 1 NL4- 3- lucAenv backbone (30), we generated the H7N9 2013 pseudotype particles and tested mAb neutralization by a luciferase readout from single round infection of MDCK cells (Fig. 1C, left). H7.HK1 and H7.HK2 each potently neutralized the H7N9 2013 pseudovirus with \(\mathrm{IC}_{50}\) of 5 and \(2\mathrm{ng / mL}\) respectively, while the other two mAbs H7.HK3 and H7.HK4 did not neutralize at up to \(10\mu \mathrm{g / mL}\) (Fig. 1C, left, Table 1). Similarly, we generated pseudovirus using an expression plasmid encoding H7 from A/Guangdong/17SF003/2016 H7N9. H7.HK2 fully retained its potent neutralization against the H7N9 2016 pseudovirus with an \(\mathrm{IC}_{50}\) of \(2\mathrm{ng / mL}\) , and H7.HK1's neutralization was reduced to an \(\mathrm{IC}_{50}\) of \(16\mathrm{ng / mL}\) , while the other two mAbs H7.HK3 and H7.HK4 did not neutralize (Fig. 1C, right, Table 1). We further assessed the mAb neutralization against three live replicating H7N9 viruses, Anhui1 (AH1), Zhejiang (ZJ), and the donor's autologous isolate A/Hong Kong/470129/2013, for multiple rounds of infection in MDCK cells. Scored by the presence of cytopathic effect, mAbs H7.HK1 and H7.HK2 neutralized all three H7N9 live isolates with \(\mathrm{IC}_{50}\) ranging \(0.3\mathrm{- }1\mu \mathrm{g / mL}\) ; however, they did not neutralize any non- H7N9 influenza isolates tested, indicating that these mAbs are specific to H7N9 (Table 1). The other two mAbs H7.HK3 and H7.HK4 did not neutralize any of the tested H7N9 and therefore were not tested against non- H7N9 viruses. The neutralization \(\mathrm{IC}_{50}\) of H7.HK1 and H7.HK2 using the pseudovirus were about 100- fold more potent than those using the live replicating viruses, suggesting that the pseudovirus neutralization
+
+<--- Page Split --->
+
+is more sensitive thus useful for initial screening of neutralizing mAbs, which could then be confirmed with live replicating viruses. Similar differences in IC₅₀ values have been reported for other HA-reactive mAbs tested by both pseudovirus and live replicating virus (31).
+
+Table 1 Neutralization ICso of H7.HK mAbs against pseudovirus or live replicating virus
+
+| mAb ID | Neutralization IC50 (μg/mL) in MDCK cells |
| H7N9 2013 pseudovirus | H7N9 2016 pseudovirus | H7N9/ AH1 | H7N9/ ZJ | H7N9/HK 470129 | H3N2/ 400500 | H1N1/ 415742 | H5N1/ 459094 | H5N1/ 1194 | H9N2/ 1073 |
| H7.HK1 | 0.005 | 0.016 | 0.3 | 0.3 | 0.4 | >30 | >30 | >30 | >>30 | >30 |
| H7.HK2 | 0.002 | 0.002 | 0.3 | 1.0 | 0.9 | >30 | >30 | >30 | >>30 | >>30 |
| H7.HK3 | >10 | >10 | >30 | >30 | ND | ND | ND | ND | ND | ND |
| H7.HK4 | >10 | >10 | >30 | >30 | ND | ND | ND | ND | ND | ND |
+
+"ND" indicates "not done".
+
+## H7-reactive mAb sequences
+
+Sequence analysis revealed that all four H7.HK mAbs are IgG1 (Table 2). H7.HK1 and H7.HK2 are clonal variants using IGHV4- 59 for heavy chain with 8- 10% somatic hypermutation (SHM) and a complementarity- determining region (CDR) H3 of 11 amino acids according to the Chothia definition (32- 34), and IGKV2- 28 for light chain with 6% SHM and a CDR L3 of 9 amino acids. Though clonally related, H7.HK1 and H7.HK2 share only 3 out of 13- 15 amino acid SHMs in the heavy chain V- gene and 1 out of 8 amino acid SHMs in the light chain V- gene (Supplementary Fig. 1). A putative N- linked glycosylation site is present in the light chain CDR L1 of H7.HK1 and H7.HK2. H7.HK3 uses IGHV7- 4- 1 for heavy chain with 7% SHM and a CDR H3 of 14 amino acids, and IGKV1- 5 for light chain with 5% SHM and a CDR L3 of 8 amino acids. A putative N- linked glycosylation site is also present in H7.HK3 at the heavy chain CDR H2. H7.HK4 uses IGHV4- 61 for heavy chain with 7% SHM and a CDR H3 of 13 amino acids, and IGKV1- 16 for light chain with 5% SHM and a CDR L3 of 9 amino acids (Table 2, Supplementary Fig. 1).
+
+<--- Page Split --->
+
+
+Table 2 Genetic composition, epitope, and neutralization function of H7.HK mAbs
+
+| mAb ID | Origin | Time point | Isotype | V-gene (SHM%) | CDR3 length in amino acid | Epitope | Neutralization |
| H7.HK1 | Human | 1 year post recovery | IgG1 | HV4-59 (8%) KV2-28 (6%) | H3: 11, L3: 9 | H7 HA1 | Yes |
| H7.HK2 | Human | 1 year post recovery | IgG1 | HV4-59 (10%) KV2-28 (6%) | H3: 11, L3: 9 | H7 HA1 | Yes |
| H7.HK3 | Human | 1 year post recovery | IgG1 | HV7-4-1 (5%) KV1-5 (7%) | H3: 14, L3: 8 | H7 HA1 | No |
| H7.HK4 | Human | 1 year post recovery | IgG1 | HV4-61 (7%) KV1-16 (5%) | H3: 13, L3: 9 | H7 HA2 | No |
+
+## H7-reactive mAb structures
+
+For structural analysis, we generated the antibody fragments for antigen binding (Fabs) and expressed the H7 HA trimer by transient transfection of Expi293F cells. We froze grids containing the Fab:HA complexes and determined cryo- EM structures of each Fab bound to an H7 HA trimer. A resolution of \(3.62 \AA\) for H7.HK1 and \(3.69 \AA\) for H7.HK2 was achieved (Fig. 2A, Supplementary Fig. 2, Table S1). These complex structures demonstrate that H7.HK1 and H7.HK2 are highly superimposable (Fig. 2B) and their interactions with H7 are centered at \(\beta 14\) and extended to the surfaces of \(\beta 10\) and \(\beta 19\) (Fig. 2C). This \(\beta 14\) - targeting surface partially overlaps with the antigenic site D towards sites A and B as previously mapped on H3 (23, 25). Analysis of the H7.HK1 epitope demonstrates that most interactions are driven by the heavy chain and consist of seven hydrogen bonds (Y52:E111, R97:G114, G102:S158, D103:T116, Y104:T156, Y104:S158, S106:T116) and one salt bridge (H53:E111) (Fig. 2D). The light chain is less involved in binding, making only one hydrogen bond (Y54:Q154) and weak hydrophobic interactions (Fig. 2E). The light chain of both H7.HK1 and H7.HK2 are glycosylated in CDR L1; this glycan plays no role in binding, but there is good density to support its presence. The epitope of H7.HK2 is similar to that of H7.HK1, only differing in slight contacts on the periphery (Supplementary Fig. 3A). Additionally, nearly all hydrogen bonds are conserved
+
+<--- Page Split --->
+
+between the two antibodies (Supplementary Fig. 3B). However, the substitution of F61S in CDR L2 of H7.HK2 results in an additional hydrogen bond with HA G119. This substitution also shifts the orientation of H7.HK2 CDR L2 slightly so that Y54 interacts with T156 for H7.HK2 instead of Q154 for H7.HK1 (Supplementary Fig. 3C). Finally, as H53 is substituted with tyrosine in the heavy chain of H7.HK2, it does not make the H53:E111 salt bridge.
+
+To analyze the mechanism of neutralization, we first compared the binding site of H7.HK1 to that of four other H7- reactive antibodies with published structures, L4A- 14, L4B- 18, L3A- 44 (PDB: 6II4, 6II8, 6II9) (17) and H7.167 (PDB: 5V2A) (19). This analysis demonstrates that the binding site of H7.HK1 is almost completely distinct from that of these previously published antibodies, which compete for the receptor binding site (RBS) (Fig. 2F). The binding site of H7.HK1 is also distant from that of 07- 5F01, which was mapped to an escape mutation R65K (corresponding to R47K here) of HA1 (20) (Fig. 2F). Strikingly, the epitope of H7.HK1 (β14- centered) is extremely distal to the RBS of the protomer it interacts with and is closer to the RBS on the adjacent protomer. To further examine the relationship between the mAb binding site and RBS, the human receptor analogue Sialylneolacto- N- tetraose c (LSTc) was modeled into the RBS of H7 (PDB: 4BSE) (35) in the H7.HK1 complex. Interestingly, there were no steric clashes between H7.HK1 and sialic acid bound to the adjacent protomer, and no mAb interaction with RBS (Fig. 2G). However, the HA 220- loop (G209- G219) that makes hydrophobic contacts with sialic acid has no density present in the structure of H7.HK1 or H7.HK2 bound to HA, suggesting that these antibody binding causes 220- loop to become disordered. All previously examined H7 structures, as well as an additional cryo- EM structure in which Fab 1D12 is bound to the stem region of H7 HA (PDB: 6WXL) (36) have consistent electron density accounting for
+
+<--- Page Split --->
+
+this loop. Alignments of the H7.HK1 complex structure with the crystal structure of H7 HA bound to LSTc (PDB: 4BSE) (35) demonstrate where the 220- loop would be when receptor is bound and that the light chain of H7.HK1 would clash with this loop (Fig. 2H), further supporting that H7.HK1 and H7.HK2 act by causing 220- loop to become disordered, thus preventing its interactions with the sialic acid receptor. The HA1 trimer interface mAb FluA- 20 interacts with the non- RBS side of 220- loop on the protomer it interacts with (21). To our knowledge, the allosteric mechanism of neutralization employed by H7.HK1 and H7.HK2 is distinct from previously reported HA1- directed H7N9 neutralizing mAbs, which all directly compete with sialic acid for binding to HA on the protomer they interact with (17, 19, 21, 22, 37).
+
+Since the H7N9 HA gene has significantly evolved and changed in 2016- 2017 compared to that of 2013 (with up to 13 amino acid substitutions in HA1), we examined the locations of mutated residues in the epitopes of H7.HK1 and H7.HK2 that consist of 32 contacting residues in HA1 for both mAbs (Supplementary Fig. 4A). There are four mutations in the binding site of H7.HK1 and H7.HK2 – namely, A112T/P, S118N, G119E, and R163K, appeared in 2016- 2017 compared to the 2013 H7N9, and all four mutations are located at one side edge of the epitopes (Supplementary Fig. 4B), thus not altering the mAb interactions with HA1. This analysis is in consistency with the intact binding of H7.HK1 and H7.HK2 to both 2016 and 2017 HA1s aligned to the 2013 HA1 (Fig. 1B, middle panels) and H7.HK2’s full retention of neutralization against the H7N9 2016 pseudovirus (Fig. 1C).
+
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+## H7-reactive mAb mouse protection
+
+H7-reactive mAb mouse protectionWe next assessed the prophylactic and therapeutic effect of H7.HK mAbs as human IgG1 in a mouse lethal challenge model. To assess mAb prophylactic effect, balb/c mice (n = 5- 10 per group from 1- 2 experiments) were injected intraperitoneally (i.p.) with human H7N9 mAbs one day before intranasal (i.n.) challenge of 10- fold 50% lethal dose (10 LD50) of A/Anhui/1/2013 H7N9 virus. Given 100 μg per mouse (equivalent to 5 mg/kg), the neutralizing mAbs H7.HK1 and H7.HK2 each fully protected mice without apparent weight loss (Fig. 3A, top panels); given 20 μg per mouse (equivalent to 1 mg/kg), H7.HK2 still fully protected mice from death (defined as \(\geq 20\%\) weight loss), with up to 8% average weight loss; H7.HK1 protected 7 out of 10 mice from death, with up to 12% average weight loss for mice that survived (Fig. 3A, upper middle panels). By day 2 post challenge, the weight preservation was significantly better in mice receiving 20 μg of H7.HK1 or H7.HK2 than mice receiving the placebo mAb or phosphate buffered saline (PBS). Mice receiving the non- neutralizing mAbs H7.HK3 or H7.HK4 (100 μg or 20 μg) were not protected and showed no difference from placebo mAb and PBS controls (Fig. 3A, top and upper middle panels).
+
+Since anti- HA2 stem mAbs have demonstrated Fc- mediated protection against influenza (38), we converted the anti- HA2 non- neutralizing mAb H7.HK4 to mouse IgG2a (mIgG2a) – an isotype that mediates strong Fc effector function in mice, and tested it for prophylaxis in the mouse challenge model, along with mouse IgG1 (mIgG1), which lacks Fc effector function in mice (28). Given 100 μg per mouse, H7.HK4 mIgG2a but not mIgG1 protected 4 out of 5 mice from death, with up to 17% average weight loss for mice that survived (Fig. 3A, lower middle panels). By day 3 post challenge, the weight preservation was significantly better in mice receiving
+
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+
+H7.HK4 mIgG2a than mice receiving H7.HK4 mIgG1 or placebo mIgG2a. Though survived, mice receiving \(100\mu \mathrm{g} \mathrm{H7.HK4 mIgG2a}\) lost more weight than those receiving \(20\mu \mathrm{g}\) neutralizing mAbs H7.HK1 or H7.HK2 (Fig. 3A, upper middle panels), indicating less prophylaxis efficiency for H7.HK4 (as mIgG2a) than H7.HK1 and H7.HK2.
+
+Since the H7.HK2 and H7.HK4 mAbs bind to different sites on the HA and protect through different mechanisms, we tested the combination of suboptimal dose of \(20\mu \mathrm{g} \mathrm{H7.HK2}\) (as human IgG1) with \(100\mu \mathrm{g} \mathrm{H7.HK4 mIgG2a}\) in the mouse challenge model, using \(20\mu \mathrm{g} \mathrm{H7.HK2}\) (as human IgG1) with \(100\mu \mathrm{g} \mathrm{H7.HK4 mIgG1}\) as a control. Compared to this control group, which protected 9 out of 10 mice from death and lost up to \(11\%\) body weight for mice that survived, the combination of \(20\mu \mathrm{g}\) of H7.HK2 (as human IgG1) with \(100\mu \mathrm{g} \mathrm{H7.HK4 mIgG2a}\) fully protected mice from death, with only up to \(7\%\) weight loss, and the weight difference was statistically significant between these two groups since day 3 post challenge (Fig. 3A, bottom panels), indicating a beneficial role of H7.HK4 in the mAb combination regimen.
+
+To assess mAb therapeutic effects, we first i.n. challenged mice ( \(\mathrm{n} = 5 - 10\) per group from 1- 2 experiments) with \(10 \mathrm{LD}_{50}\) of A/Anhui/1/2013 H7N9 virus, waited for one day, and then on day 1 post challenge i.p. injected mice with \(100 \mu \mathrm{g} \mathrm{H7.HK1}\) or H7.HK2 as human IgG1, or H7.HK4 as mIgG2a (Fig. 3B). Twelve and 13 out of 15 mice receiving \(100 \mu \mathrm{g} \mathrm{H7.HK1}\) or H7.HK2 one day after viral challenge initially lost weight similarly to placebo and PBS controls but then started to recover on day 5 after challenge. Therefore, the neutralizing mAbs H7.HK1 and H7.HK2 showed both prophylactic and therapeutic efficacies in the mouse lethal challenge model. None of the 5 mice receiving \(100 \mu \mathrm{g} \mathrm{H7.HK4 mIgG2a}\) one day after challenge survived
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+(Fig. 3B), indicating that H7.HK4 as mIgG2a demonstrated measurable prophylactic effect but not therapeutic efficacy.
+
+## DISCUSSION
+
+Already endemic, adapted, and evolved in humans for 10 years, H7N9 continues to post risk and infect human cases exposed to infected poultry in China. While the current risk to public health is low, the pandemic potential of H7N9 is especially concerning if it were to gain the ability of sustained human- to- human transmission. Based on its biological features such as dual affinity for avian and human receptors, high case- fatality rate, resistance to neuraminidase inhibitors, and lack of pre- existing immunity in the human populations, there is an immediate need and interest to develop human mAb prophylaxis and therapeutics against H7N9, to which a specific treatment or licensed vaccine (for humans) is not available.
+
+In this study, we identified two HA1- directed clonally related human mAbs, H7.HK1 and H7.HK2, that neutralized H7N9 with potencies and mouse protection efficacies (prophylactic and therapeutic) in line with the best of previously reported H7N9 mAbs. Specifically, a combined phage library from three H7N9 convalescent cases yielded a single neutralizing mAb clone (18). Despite possible nonnative heavy and light chain pairing from phage display, the best member of the mAb clone, HNIgGA6, neutralized H7N9 and protected mice against a lethal challenge at 5 mg/kg with up to about 10% weight loss (18). Likewise, from a study of four H7N9 acutely infected cases, the best mAb L4A- 14 cloned from plasmablast protected mice against a lethal challenge at 10 mg/kg with up to about 10% weight loss (17). The most potent mAb H7.167 from a study of EBV transformed B cells from five representative H7N9
+
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+
+experimental vaccines neutralized H7N9 and protected mice against a sub- lethal challenge of H7- PR8 at \(1.65\mathrm{mg / kg}\) without apparent weight loss (19). The best HA1- directed neutralizing mAb 07- 5F01 from a study of H7N9 experimental vaccines' plasmalasts protected mice against a lethal challenge at \(0.3\mathrm{mg / kg}\) without apparent weight loss (20). The broad HA1 trimer interface mAb FluA- 20 from a healthy donor with extensive influenza vaccinations lacked in vitro neutralization but protected mice against a sub- lethal challenge of H7- PR8 at \(10\mathrm{mg / kg}\) without apparent weight loss (21). In comparison, H7. HK1 and H7. HK2 protected mice against a lethal challenge at \(1\mathrm{mg / kg}\) with up to \(12\%\) weight loss.
+
+We have also structurally defined the epitopes of H7. HK1 and H7. HK2 to the \(\beta 14\) - centered surface of H7 HA1, partially overlapping with the antigenic site D rather than the commonly targeted RBS and trimer interface by previous H7N9 mAbs (37), including the best reported human mAbs discussed above. Structural alignments and comparisons demonstrated that H7. HK1 and H7. HK2 interacted with H7 completely differently from L4A- 14, H7. 167, 07- 5F01, and FluA- 20. By escape mutations, a previous H3 neutralizing mAb D1- 8 was mapped to the lower part of antigenic site D towards site E (39); this epitope partially overlaps with the H7. HK1 and H7. HK2 epitope described here. However, without structural data, the action of neutralization by D1- 8 cannot be determined. Importantly, D1- 8 does not react to H7, and likewise, H7. HK1 and H7. HK2 do not react to H3. Hence, D1- 8 cannot replace the anti- H7N9 function of H7. HK1 and H7. HK2. The unique \(\beta 14\) - targeting epitope on HA1 would render H7. HK1 and H7. HK2 favorable candidates for combination prophylaxis and therapy against H7N9 to augment protection efficacy and increase the genetic barrier for viral escape.
+
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+
+H7N9 has evolved over time and its HA gene has significantly changed in 2016- 2017 compared to that of 2013. Consequently, most neutralizing mAbs isolated from individuals infected or vaccinated with the 2013 H7 HA lost reactivity to 2016- 2017 isolates, requiring updated H7 immunogens for mAb and vaccine development (17). We show that four mutations appeared in 2016- 2017 are located at the periphery of the H7.HK1 and H7.HK2 epitopes and confirmed that the binding profiles of H7.HK1 and H7.HK2 are intact to both 2016 and 2017 HA1s as compared to 2013 HA1. We also showed that H7.HK2 fully retained its potent neutralization (IC \(_{50}\) of 2 ng/mL) against the H7N9 2016 pseudovirus, while H7.HK1's neutralization IC \(_{50}\) was weakened from 5 to 16 ng/mL. Previous protective mAbs such as HNIgGA6 (18), H7.167 (19), and 075F01 (20) were not evaluated for reactivity to H7N9 2016- 2017 isolates. L4A- 14 was active against A/Guangdong/TH005/2017 (an avian virus related to A/Guangdong/17SF003/2016) but required 10 mg/kg, compared to 1 mg/kg of H7.HK1 and H7.HK2, for mice protection with up to about 10% weight loss (17). Compared to a 2013 H7N9 isolate, the neutralization IC \(_{50}\) of 075F01 was reduced by more than 100- fold against A/mallard/Netherlands/12/2000 H7N7 (20), and H7.167 did not recognize H7 from A/Netherlands/219/2003 H7N7 (19), to which all four H7.HK mAbs from the present study bound tightly.
+
+Lastly, we tested a suboptimal dose of H7.HK2 combining with the HA2- directed non- neutralizing mAb H7.HK4 against mouse lethal challenge. Compared to HA1 (head region of HA), HA2 (stem region) is genetically more conserved. Hence, HA2- directed mAbs typically display broader recognition of HA subtypes than HA1- directed mAbs. This is indeed the case for H7.HK4, i.e., in addition to H7N9 and H7N7, it also recognized the HAs from H10N8 and H15N8, to which both H7.HK1 and H7.HK2 had no reactivity. When converted to mouse IgG2a
+
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+
+enabling Fc effector function in mice, H7.HK4 demonstrated measurable prophylactic protection at \(5\mathrm{mg / kg}\) and augmented mouse protection of H7.HK2, supporting the inclusion of HA2- directed antibodies in a mAb combination regimen against H7N9.
+
+5 In summary, from a 2013 H7N9 convalescent case occurred in Hong Kong, we isolated two clonally related HA1- directed neutralizing mAbs, H7.HK1 and H7.HK2, that demonstrated prophylactic and therapeutic efficacies in a mouse lethal challenge model. Cryo- EM structures revealed a \(\beta 14\) - centered site of vulnerability targeted by H7.HK1 and H7.HK2, which allowed full binding and neutralization capacity of H7.HK2 to the later 2016- 2017 H7N9 isolates. This unique epitope renders H7.HK2 a favorable candidate for combination prophylaxis and therapy against H7N9, which may include multiple HA1- directed neutralizing mAbs targeting different epitopes and benefit from the inclusion of HA2- directed mAbs as well.
+
+## METHODS
+
+## 15 Collection of human specimens
+
+A blood specimen was collected from the H7N9_HK2013 patient about one year after recovery from a hospitalized severe H7N9 infection. Written informed consent was obtained from the patient. The study was approved by the Institutional Review Board (IRB) of the University of Hong Kong and the Hospital Authority (Reference number: UW- 13- 265).
+
+## Plasmids, viruses, antibodies, and cells
+
+Expression plasmids encoding the H7 hemagglutinin and N9 neuraminidase based on A/Shanghai/4664T/2013 H7N9 strain were obtained from Dr. Jianqing Xu (30). Codon- optimized gene encoding the H7 hemagglutinin of A/Guangdong/17SF003/2016 H7N9 was
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+
+synthesized (Twist Bioscience) and cloned into pcDNA3.1 (Invitrogen). HIV- 1 pNL4- 3. Luc.RE- backbone was obtained through the NIH HIV Reagent Program, as contributed by Dr. Nathaniel Landau. These plasmids were used to co- transfect 293T cells (ATCC, Manassas, VA) to generate H7N9 2013 and 2016 pseudoviruses. All live replicating influenza A viruses used in this study were isolated from patients and include A/Hong Kong/470129/2013 H7N9 (14), A/Zhejiang/DTID-ZJU01/2013 H7N9 (3), A/Anhui/1/2013 H7N9 (obtained from the China Center for Disease Control and Prevention), A/Vietnam/1194/2004 H5N1, A/Hong Kong/459094/2010 H5N1, A/Hong Kong/1073/1999 H9N2, A/Hong Kong/415742/2009 H1N1, and A/Hong Kong/400500/2015 H3N2. The non- H7N9 placebo mAb used in this study, AD358_n1, has been described (40) and is specific to HIV- 1 gp120. Human embryonic kidney 293 cell line, of which the sex is female, is the parental cell for 293T and Expi293F cell lines. 293T was obtained from ATCC and maintained as adherent cells in complete DMEM medium at \(37^{\circ}\mathrm{C}\) . 293T is highly transfectable and contains SV40 T- antigen. Expi293F was obtained from ThermoFisher and adapted to suspension culture in Expi293 Expression Medium at \(37^{\circ}\mathrm{C}\) . The Madin- Darby Canine Kidney (MDCK) cell line, of which the sex is female, was obtained from ATCC and maintained as adherent cells in complete DMEM medium at \(37^{\circ}\mathrm{C}\) .
+
+## Single B cell sorting by fluorescence activated cell sorter (FACS)
+
+A soluble recombinant HA antigen based on A/Shanghai/2/2013 H7N9 (Immune Technologies, New York, NY) was biotinylated, followed by streptavidin mediated conjugation of phycoerythrin (PE) (Invitrogen). PBMCs were stained with an antibody cocktail to CD3- PECF594 (BD Biosciences, San Jose, CA), CD19- PE- Cy7 (BioLegend, San Diego, CA), CD20- APC- Cy7 (BioLegend), IgG- FITC (BD Biosciences), and IgM- V450 (BD Biosciences). In
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+
+addition, live/dead yellow stain (Invitrogen) was used to exclude dead cells. After washing, cells were sorted using a multi- laser MoFlo sorter (Beckman Coulter, Jersey City, NJ). Fluorescence compensation was performed with anti- mouse Ig kappa chain beads (BD Biosciences) stained with each antibody in a separate tube. Individual B cells were sorted into a 96- well PCR plate, each well containing \(20 \mu \mathrm{L}\) lysis buffer, composed of \(0.5 \mu \mathrm{L}\) RNaseOut (Invitrogen), \(5 \mu \mathrm{L}\) 5x first- strand buffer, \(1.25 \mu \mathrm{L} 0.1 \mathrm{M} \mathrm{DT} \mathrm{T}\) , and \(0.0625 \mu \mathrm{L}\) Igepal (Sigma, St. Louis, MO). The PCR plate with sorted cells was frozen on dry- ice and then stored at \(- 80^{\circ} \mathrm{C}\) . The total cell sample passing through the sorter was analyzed with FlowJo (TreeStar, Cupertino, CA).
+
+## 10 Single B cell RT-PCR, sequencing, and cloning
+
+From each sorted cell, the variable regions of IgG heavy and light chains were amplified by RT- PCR and cloned into expression vectors as previously described (40). Briefly, frozen plates with single B- cell RNA were thawed at room temperature, and RT was carried out by adding into each well \(3 \mu \mathrm{L}\) random hexamers at \(150 \mathrm{ng} / \mu \mathrm{L}\) (Gene Link, Hawthorne, NY), \(2 \mu \mathrm{L}\) dNTP (each at \(10 \mathrm{mM}\) ), and \(1 \mu \mathrm{L}\) SuperScript II (Invitrogen), followed by incubation at \(42^{\circ} \mathrm{C}\) for \(2 \mathrm{h}\) . We note that these RT parameters may be suboptimal to those described previously (41, 42). After RT, \(25 \mu \mathrm{L}\) water was added to each well to dilute cDNA, and the cDNA plates were stored at \(- 20^{\circ} \mathrm{C}\) for later use. The variable regions of heavy, kappa, and lambda chains were amplified independently by nested PCR in \(50 \mu \mathrm{L}\) , using \(5 \mu \mathrm{L}\) cDNA as template, with HotStarTaq Plus DNA polymerase (Qiagen) and primer mixes as described (41, 43). Cycler parameters were \(94^{\circ} \mathrm{C}\) for \(5 \mathrm{m}\) , 50 cycles of \(94^{\circ} \mathrm{C}\) for \(30 \mathrm{s}\) , \(52 - 55^{\circ} \mathrm{C}\) for \(30 \mathrm{s}\) , and \(72^{\circ} \mathrm{C}\) for \(1 \mathrm{m}\) , followed by \(72^{\circ} \mathrm{C}\) for \(10 \mathrm{m}\) . The PCR amplicons were subjected to direct Sanger sequencing, and the antibody sequences were analyzed using IMGT/V- QUEST. Selected PCR sequences that gave productive gamma,
+
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+
+kappa, and lambda chain rearrangements were re- amplified with custom primers containing unique restriction digest sites and cloned into the corresponding human gamma, kappa, and lambda chain expression vectors as described (40- 42). Full IgG1 was expressed by co- transfecting Expo293F cells (ThermoFisher) with equal amounts of paired heavy and light chain plasmids and purified using recombinant Protein A agarose (ThermoFisher).
+
+## ELISA, with and without Endo H treatment
+
+H7N9 HA and HA1 based on A/Shanghai/2/2013, A/Guangdong/17SF003/2016, A/Hong Kong/125/2017, and H7N7 HA based on A/Netherlands/219/2003 were purchased (Immune Technologies, New York, NY). Other non- H7 HA proteins were also purchased (Sino Biological, Chesterbrook, PA). ELISA plates were coated with HA or HA1 antigens at \(2 \mu \mathrm{g / mL}\) in PBS overnight at \(4^{\circ}\mathrm{C}\) . For Endo H treatment, the required amount of antigen was diluted in 10x buffer and mixed with \(1 \mu \mathrm{L}\) Endo H (New England BioLabs, Ipswich, MA) for \(1 \mathrm{~h}\) at \(37^{\circ}\mathrm{C}\) ; an equal amount of antigen (untreated) was processed under identical condition without Endo H. Both treated and untreated antigens were then diluted in PBS to coat ELISA plates at \(2 \mu \mathrm{g / mL}\) . Coated plates were blocked with \(1\%\) BSA (bovine serum albumin) in PBS for \(1 \mathrm{~h}\) at \(37^{\circ}\mathrm{C}\) , followed by incubation with serially diluted mAbs for \(1 \mathrm{~h}\) at \(37^{\circ}\mathrm{C}\) . Horseradish peroxidase (HRP)- conjugated goat anti- human IgG Fc (Jackson ImmunoResearch, West Grove, PA) was added at \(1:10,000\) for \(1 \mathrm{~h}\) at \(37^{\circ}\mathrm{C}\) . All ELISA incubation volumes were \(100 \mu \mathrm{L}\) /well except that \(200 \mu \mathrm{L}\) /well was used for blocking. Plates were washed between steps with \(0.1\%\) Tween 20 in PBS and developed with \(3,3^{\prime},5,5^{\prime}\) - tetramethylbenzidine (TMB) (Novex, Life Technologies) for \(5 \mathrm{~m}\) , with \(1 \mathrm{M} \mathrm{H}_{2} \mathrm{SO}_{4}\) as terminator and read at \(450 \mathrm{~nm}\) .
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+
+## H7N9 neutralization assays
+
+H7N9 neutralization assaysH7N9 neutralization was first measured with a single- round infection of MDCK cells using H7N9 2013 and 2016 pseudoviruses as described (30). Neutralization curves were fitted by a 5- parameter nonlinear regression built in Prism (GraphPad Software, La Jolla, CA). The 50% inhibitory titers (IC50s) were reported as the antibody concentrations required to inhibit infection by 50%. H7N9 neutralization was next measured using live replicating influenza viruses to infect MDCK cells as described (44). Briefly, serially diluted mAbs were incubated with 100 TCID50 (50% tissue culture infective dose) of an influenza virus at 37°C for 2 h, and 100 μL virus- mAb mixture was added to MDCK cells. After 1 h incubation, the virus- mAb mixture was removed, and minimum- essential medium with 2 μg/mL L- 1- tosylamide- 2- phenylethylchloromethyl ketone- treated trypsin (TPCK- trypsin) was added to each well. The plates were then incubated for 72 h, and cytopathic effects were recorded. The mAb concentration that protected 50% of 5 replicate wells from cytopathology was reported as IC50.
+
+## H7 HA production
+
+H7 HA productionSoluble, disulfide- stabilized, fully cleaved H7 HA trimers were produced by transient cotransfection of plasmids encoding H7 HA (H7 SH13 DS2 6R) and Furin of Expi293F cells (Life Technologies) using Turbo293 transfection Reagent (Speed biosystem). After 5 days at 37°C, culture supernatants were harvested by centrifugation and concentrated 5- fold by Tangential Flow Filtration. The recombinant HA trimer was captured by Ni- NTA (Sigma- Aldrich) through a C- terminal 6xHis- tag. The imidazole eluant was combined 1:1 (v/v) with saturated ammonium sulfate, centrifuged at 4°C, and pellet removed. The supernatant was dialyzed against 500 mM NaCl, 50 mM Tris pH 8, and purified by size exclusion chromatography on a Superdex 200 Increase 10/300 GL column (Cytiva).
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+
+## Human mAb Fab preparation
+
+Human mAb Fab Fab preparationHuman mAb Fab fragments were produced by digestion of the full IgG antibodies with immobilized Papain (ThermoFisher) equilibrated with \(25~\mathrm{mM}\) phosphate, \(150~\mathrm{mM}\) NaCl, pH 10, and \(2\mathrm{mM}\) EDTA for \(3\mathrm{h}\) . The resulting Fabs were purified from the cleaved Fc domain by affinity chromatography using protein A. Fab purity was analyzed by SDS- PAGE. All Fabs were buffer- exchanged into \(25~\mathrm{mM}\) phosphate, \(150~\mathrm{mM}\) NaCl, pH 7.0 prior to cryo- EM experiments.
+
+## Cryo-EM sample preparation, data collection, and structure determination
+
+To determine the structures of H7. HK1 and H7. HK2 with H7 HA trimer, trimer was mixed with the antibody Fab at 1 to 1.2 molar ratio at a final total protein concentration of \(\sim 1\mathrm{mg / mL}\) and adjusted to a final concentration of \(0.005\%\) (w/v) n- Dodecyl \(\beta\) - D- maltoside (DDM) to prevent preferred orientation and aggregation during vitrification. Cryo- EM grids were prepared by applying \(3\mu \mathrm{L}\) of sample to a freshly glow discharged carbon- coated copper grid (CF 1.2/1.3 300 mesh). The sample was vitrified in liquid ethane using a Vitrobot Mark IV with a wait time of 30 s, a blot time of 3 s, and a blot force of 0. Cryo- EM data were collected on a Titan Krios operating at \(300\mathrm{keV}\) , equipped with a K3 detector (Gatan) operating in counting mode. Data were acquired using Legion (45). The dose was fractionated over 50 raw frames. For all structures, the movie frames were aligned and dose- weighted (46) using cryoSPARC 3.4 (47); the CTF estimation, particle picking, 2D classifications, ab initio model generation, heterogeneous refinements, homogeneous 3D refinements and non- uniform refinement calculations were carried out using cryoSPARC 3.4 (47).
+
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+
+## Atomic model building and refinement
+
+For structural determination, a model of the antibody Fab was generated using SAbPred (48). The Fab model and the crystal structure of an H7 HA mutant (PDB: 6IDD) (10) was docked into the cryo- EM density map using UCSF Chimera (49) to build an initial model of the complex. The model was then manually rebuilt to the best fit into the density using Coot (50) and refined using Phenix (51). Interface calculations were performed using PISA (52). Structures were analyzed and figures were generated using PyMOL (http://www.pymol.org) and UCSF Chimera (49). Final model statistics are summarized in Table S1.
+
+## Mouse prophylactic and therapeutic studies
+
+The mouse prophylactic and therapeutic studies were approved by the Committee on the Use of Live Animals in Teaching and Research (CULATR) of the University of Hong Kong (Reference number: 4011- 16) and conducted in biosafety level 3 animal facilities as described previously (53). Female BALB/c mice of 6- 8 weeks of age were obtained from the Laboratory Animal Unit of The University of Hong Kong. For prophylactic study, one day before virus inoculation, each mouse was administered with \(100 \mu \mathrm{L}\) of mAb at \(1 \mathrm{mg / mL}\) intraperitoneally. For therapeutic study, infected mice were administered with \(100 \mu \mathrm{L}\) of mAb at \(1 \mathrm{mg / mL}\) intraperitoneally at day 1 post viral challenge. Mice in the control groups were administered with either PBS or with a non- H7N9 mAb. On the day of virus infection, each mouse was inoculated with \(10 \mathrm{LD}_{50}\) (40 \(\mu \mathrm{L}\)) of H7N9/AH1 virus through intranasal route. Virus inoculation was performed under ketamine (100 \(\mathrm{mg / kg}\) ) and xylazine (10 \(\mathrm{mg / kg}\) ) anesthesia. The mice were monitored for 14 days with disease severity score and body weight recorded daily. Disease severity were scored as follow: Score 0, apparently healthy; Score 1 (mild disease symptom), ruffled fur but still active; Score 2
+
+<--- Page Split --->
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+(medium disease symptom), ruffled fur, reduced activity and no weight gain; Score 3 (severe disease symptoms), ruffled fur, hunched posture, labored breathing and weight loss; Score 4 (moribund): very inactive, showing difficulty moving around and accessing to food and water, and weight loss. The predefined humane endpoints were either a weight loss of \(\geq 20\%\) or a disease severity score of 4. Mice were euthanized if the humane endpoints were reached.
+
+## Statistical analysis
+
+GraphPad Prism was used to plot the ELISA data using sigmoidal dose- response with variable slope for curve fitting and the neutralization data using 5- parameter nonlinear regression for curve fitting. All quantitative data are presented as mean \(\pm\) standard error (SEM). GraphPad Prism was also used to plot the mouse Survival curves. Unpaired student's t- test in GraphPad Prism was used for comparisons between groups, and a \(P\) value of less than 0.05 was considered statistically significant.
+
+## 15 Data availability
+
+Sequences of the heavy and light chain variable regions of four H7N9 human mAbs are available in GenBank under accession # xxxxxxxx to xxxxxxxx. The Cryo- EM reconstruction of H7. HK1 and H7. HK2 Fabs in complex with H7 SH13 DS2 6R HA has been deposited in the Electron Microscopy Data Bank as EMD- 41422 and EMD- 41441 and the Protein Data Bank (PDB: 8TNL and 8TOA). Materials will be made available to researchers with appropriate materials transfer agreements (MTAs). All inquiries should be sent to the corresponding authors.
+
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+
+<--- Page Split --->
+
+## Acknowledgments
+
+AcknowledgmentsWe thank the patient for donating blood for the study. We thank Reda Rawi and Jeffrey C. Boyington for design of H7 SH13 DS2 6R used for structural analysis. Cryo- EM data were collected at the Columbia University Cryo- Electron Microscopy Center. We thank Shuofeng Yuan and Vincent Poon for assistance with the animal experiments.
+
+## Funding
+
+Funding- U.S. Department of Defense contract No. W911NF- 14- C- 0001 (DDH and XW)- Health@InnoHK, Innovation and Technology Commission of Hong Kong (KY and KKT)- Donations from Richard Yu and Carol Yu, Shaw Foundation Hong Kong, Michael Seak- Kan Tong, The Hui Ming, Hui Hoy and Chow Sin Lan Charity Fund Limited, Chan Yin Chuen Memorial Charitable Foundation, Marina Man- Wai Lee, Jessie and George Ho Charitable Foundation, Kai Chong Tong, Tse Kam Ming Laurence, Foo Oi Foundation Limited, Betty Hing- Chu Lee, and Ping Cham So (KY and KKT)- Bill and Melinda Gates Foundation grants FNIH SHAP19IUFV (LS) and INV- 016167 (LS)- National Institutes of Health, National Institute of Allergy and Infectious Disease, Intramural Research Program of the Vaccine Research Center (PDK)
+
+## Author contributions
+
+Conceptualization: XW, DDH, KY Methodology: XW, KKT, LS Investigation: MJ, HZ, NCM, HL, YL, HD, JEB Visualization: XW, NCM Funding acquisition: DDH, XW, KY, KKT, LS, PDK Project administration: XW, KKT Supervision: XW, KKT, KY, PDK, LS Writing - original draft: XW, KKT, NCM Writing - review & editing: XW, KKT, MJ, HZ, NCM, KY, DDH, PDK, LS
+
+## Competing interests
+
+An U.S. provisional patent titled "Human Protective Neutralizing and Non- neutralizing Antibodies and Their Use against Influenza Viruses" was filed with filing No. 63/578,505 and XW, MJ, NCM, HL, DDH, KY, KKT, PDK, and LS as co- inventors.
+
+## Additional information
+
+Supplementary Figs. 1 to 4 Table S1
+
+<--- Page Split --->
+
+
+Fig. 1 Isolation and characterization of human H7N9 mAbs in vitro. (A) FACS depicting the staining and selection of H7-specific B cells from donor H7N9.HK2013 PBMCs 1 year post recovery. SSC-A, side scatter area; FSC-A, forward scatter area. (B) ELISA binding curves of the indicated mAbs to soluble recombinant H7N9 HA and H7N7 HA (upper panels), with or without Endo H treatment, to the matching H7N9 HA1 from 2013 or HA1s from 2016 and 2017 (middle panels), and to 6 other non-H7 HA or HA1 proteins (lower panels). (C) Neutralization curves of H7.HK mAbs against H7N9 2013 (left) and 2016 (right) pseudoviruses infecting MDCK cells. Data shown are mean \(\pm\) SEM.
+
+<--- Page Split --->
+
+
+Fig. 2 Structural analysis of H7.HK1 and H7.HK2 in complex with H7 HA trimer. (A) Cryo-EM structures of H7.HK1 and H7.HK2 bound to H7 HA in the head region. (B) Top view of alignment of H7.HK1 and H7.HK2 complex structures. (C) Surface presentation of the H7.HK1 epitope (orange) on H7 HA1, with interacting CDRs shown. (D) H7.HK1 heavy chain forms seven hydrogen bonds and one salt bridge with H7 HA1. (E) H7.HK1 light chain forms one additional hydrogen bond with H7 HA1, and the interactions are stabilized by hydrophobic residues on the periphery of the light chain interface. (F) Modeling published structures of H7 HA1-binding antibodies (PDB: 6I14, 6I18, 6I19, 5V2A) onto the H7.HK1 bound structure, with an escape mutation R47K (green) reported for mAb 07-5F01. (G) Modeling the binding site of human receptor analogue LSTc (red) based on a previous crystal structure (PDB: 4BSE) onto H7 from the H7.HK1 complex, showing that H7.HK1 does not compete with sialic acid on the adjacent protomer (black). (H) Alignment of the H7.HK1 complex with a previous crystal structure of H7 (PDB: 4BSE) shows that the 220-loop (pink) required for sialic acid binding (G209-G219) is disorder in the complex structure and would clash with the H7.HK1 light chain if it were present. Green asterisk symbol denotes the \(< 2\) Å clash between the CDR L1 N33 and the predicted location of P212 on HA1.
+
+<--- Page Split --->
+
+
+Fig. 3 Prophylactic and therapeutic effects of human H7N9 mAbs in mice i.n. challenged with 10 LD50 of A/Anhui/1/2013 H7N9. (A) Mice were i.p. injected with 100 μg (equivalent of 5 mg/kg) or 20 μg (equivalent of 1 mg/kg) of the indicated mAbs (as human IgG1 unless otherwise specified) one day before viral challenge; % survival (less than 20% weight loss) and % body weight of survived mice were plotted over time. (B) Mice were i.p. injected with 100 μg of the indicated mAbs one day after viral challenge; % survival and % body weight of survived mice were plotted over time. Arrows indicate the time when mAbs were administered. Control groups of a non-H7 placebo mAb and PBS were included. Data for each group were combined from 1-2 experiments and shown as mean – SEM. Asterisk symbols denote statistical significance with \(P\) values \(< 0.05\) .
+
+<--- Page Split --->
+
+# Heavy Chain V-gene
+
+IGHV4- 59 QVQLQESGPGLVKPSETSLTSTCVSGGSIS SYYWSWIRQPGKGLEWIGYIYGSGTN YNPSLKSRVTVISVDTSKNQFSLKLSSVTAADTAVYYC H7. HK1 QVQLQESGPGLVKPSETSLTSCVSGGSIN SYYWSWIRQPGKGLEWIGYIYGSGTS YNPSLKSRTISVAPSKNHFSLLETSMTAADTAVYYCAR H7. HK2 QVQLQGSGPGLLRPSETSLTSCVSGVSIN SYYWSWIRQPGKGLEWIGYIYGSGTN YNPSLKSRVTVISVDTSKNQFSLKMTSVTAADTAVYYCAR H7. HK2 QVQLQGSGPGLLRPSETSLTSCVSGVSIN SYYWSWIRQPGKGLEWIGYIYGSGTN YNPSLKSRVTVISVDTSKNQFSLKMTSVTAADTAVYYCAR H7. HK3 QVQLVQGSGELKRPGASVKVSCRAGSYFTT SYTINWVRQAPGGLEWMGWINTSTGDPTYAQGFTRFVFSLDTVSVSTAYLQICSLKAEDTAVYYCAR H7. HK3 QVQLVQGSGELKRPGASVKVSCRAGSYFTT SYTINWVRQAPGGLEWMGWINTSTGDPTYAQGFTRFVFSLDTVSVSTAYLQICSLKAEDTAVYYCAR H7. HK4 QVQLQESGPGLVKPSETSLTCTVSGGSVSSASYWSWIRQPGKGLEWIGYIYGSGTN YNPSLKSRVTVISVDTAKNRSFLRLRSVTAADTAVYYCAR
+
+# Light Chain V-gene
+
+IGHV2- 28 DIVMTQSPLSLPVTPGEPASISCRSSQSLHSNGYNLYDLWYQLKPGQSPQLLIYLGSNRASGVPDRFSGSGSGDTFLTKLISRVEAEDGVVYYC H7. HK1 DIVMTQSPVSLPVTPGEPASISCRSSQSLHSNGYA LIDWYQLKPGQSPKLMILYGLNRAGVPDRFSGSGSGDTFLTKLISRVEAEDGVVYYC H7. HK2 DIVMTQSPLSLPVTPGEPASISCRSNQSLHSNGYA LIDWYQLKPGQSPKLMILYGLNRAGVPDRFSGSGSGDTFLTKLISRVEAEDGVVYYC H7. HK1- 5 DIQMTQSPSTLSASVGDRVTTITRCASQSI SSWLA WYQQKPGKAPKLLIYDASSLESGVPSRFSGSGSGETFTLTISSLQPDDFATYYC H7. HK3 DIQMTQSPSTLSASVGDRVTTITRCASQSI SSWLA WYQQKPGKAPKLLIYASSLESGVPSRFSGSGSGETFTLTISSLQPDDFATYYC H7. HK1- 16 DIQMTQSPSSLSASVGDRVTTITRCASQSI SNYLA WFQQKPGKAPKSLIYAASSLQGSGVPSRFSGSGSGETFTLTISSLQPDDFATYYC H7. HK4 DIQMTQSPSSLSASVGDRVTTITRCASQSI RNYLA WFQQKPGKAPKSLIYAASSLHTGVPSRFSGSGSGETFTLTISSLQPDDFATYYC
+
+# CDR3
+
+H7. HK1 LGGHGDYGSDY WGQGTLVTVSS H7. HK2 QGIFGDYGSDY WGPGTLVTVSS H7. HK3 AFGLTVVRGGIVGWQGTTVTVSS H7. HK4 ERYYYGSGDFDY WGQGTLVTVSS
+
+CDR L3 - - - - - - - - - - - - - - - - - - - - CDR L3 - - - - - - - - - - - - - - - - QMALQTPFTFGPGTFRVDIK MQGLQTPFTFGPGTFRVDIK MQGLQTPFTFGPGTFRVDLK QQYNYSQTFGQGTKVKIEK QHYNSPYPTFGQGTKLEIK
+
+Supplementary Fig. 1 H7. HK mAb sequences. Protein sequences of the heavy and light chain variable regions of the H7. HK mAbs are aligned to the putative germline V- genes at top, with amino acid substitutions in red, and in magenta for substitutions shared between the clonally related mAbs H7. HK1 and H7. HK2. Spaces are added to maintain alignment; framework regions (FR) and complementarity-determining regions (CDRs) are indicated based on the Chothia nomenclature. Highlighted in yellow are the mAb residues (paratopes of H7. HK1 and H7. HK2) contacting the H7 antigen. The putative N- linked glycosylation sites on the light chain CDR L1 of H7. HK1 and H7. HK2 and the heavy chain CDR H2 of H7. HK3 are underlined.
+
+<--- Page Split --->
+![PLACEHOLDER_35_0]
+
+
+<--- Page Split --->
+
+Supplementary Fig. 2 Cryo- EM details of H7. HK1 and H7. HK2 in complex with H7 SH13 DS2 6R HA trimer. (A) Representative micrograph of H7. HK1 (left) and H7. HK2 (right). (B) Representative 2D class averages of H7. HK1 and H7. HK2. (C) The gold- standard Fourier Shell Correlation (FSC) resulted in a resolution of \(3.62 \AA\) for the overall map of H7. HK1 and \(3.69 \AA\) for the overall map of H7. HK2. Non- uniform refinement with C3 symmetry was used for both reconstructions. (D) The orientations of all particles used in the final refinement are shown as a heatmap. (E) The local resolution of the final overall map is shown contoured at 0.0989 for both structures. Resolution estimation was generated through cryoSPARC using an FSC cutoff of 0.5. (F) Representative density is shown for the interface of H7. HK1 heavy chain, light chain, and H7 HA. (G) Representative density is shown for the interface of H7. HK2 heavy chain, light chain, and H7 HA.
+
+<--- Page Split --->
+![PLACEHOLDER_37_0]
+
+
+![PLACEHOLDER_37_1]
+
+
+Supplementary Fig. 3 Comparison of H7.HK1 and H7.HK2 binding to H7. (A) Differences in epitopes of H7.HK1 and H7.HK2. Majority of surface contacts are conserved, shown in orange. H7.HK1 specific surfaces are shown in magenta, and H7.HK2 specific surfaces are shown in cyan. (B) Hydrogen bonds and salt bridges formed by H7.HK1 and H7.HK2 with H7. (C) Differences in CDR L2 binding to H7 by H7.HK1 and H7.HK2 as a result of F61S substitution in H7.HK2. S61 forms an additional hydrogen bond with G119 of H7. Additionally, position of Y54 is shifted so that it forms a hydrogen bond with T156 for H7.HK2 instead of Q154 for H7.HK1.
+
+<--- Page Split --->
+![PLACEHOLDER_38_0]
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+
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+
+
+Supplementary Table 1 Cryo-EM data collection, refinement, and validation statistics for H7 SH13 DS2 6R HA in complex with H7.HK1 and H7.HK2 Fabs.
+
+ | H7 SH13 DS2 6R H7.HK1 (EMD-41422) (PDB: 8TNL) | H7 SH13 DS2 6R H7.HK2 (EMD-41441) (PDB: 8TOA) |
| Data collection and processing | | |
| Magnification | 105000 | 105000 |
| Voltage (kV) | 300 | 300 |
| Electron exposure (e-/Ų) | 58 | 58 |
| Defocus range (μm) | 0.8-2 | 0.8-2 |
| Pixel size (Å) | 0.83 | 0.83 |
| Symmetry imposed | C3 | C3 |
| Initial particle images (no.) | 5713957 | 2339643 |
| Final particle images (no.) | 178347 | 191469 |
| Map resolution (Å) | 3.62 | 3.69 |
| FSC threshold | 0.143 | 0.143 |
| Refinement | | |
| Initial model used (PDB code) | 6IDD | 8TNL |
| Model resolution (Å) | 3.62 | 3.69 |
| FSC threshold | 0.143 | 0.143 |
| Model composition | | |
| Non-hydrogen atoms | 16487 | 15570 |
| Protein residues | 2112 | 2109 |
| Ligands | 7 | 11 |
| B factors (Ų) | | |
| Protein | 39.71 | 58.34 |
| Ligand | 58.78 | 48.38 |
| R.m.s. deviations | | |
| Bond lengths (Å) | 0.005 | 0.007 |
| Bond angles (°) | 1.121 | 1.231 |
| Validation | | |
| MolProbity score | 1.65 | 2.23 |
| Clashscore | 5.45 | 12.08 |
| Poor rotamers (%) | 0.06 | 1.62 |
| Ramachandran plot | | |
| Favored (%) | 94.86 | 92.30 |
| Allowed (%) | 5.14 | 7.41 |
| Disallowed (%) | 0.0 | 0.29 |
+
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+<|ref|>title<|/ref|><|det|>[[44, 108, 760, 175]]<|/det|>
+# Allosteric Neutralization by Human H7N9 Antibodies
+
+<|ref|>text<|/ref|><|det|>[[44, 196, 323, 240]]<|/det|>
+Xueling Wu xu2702@cumc.columbia.edu
+
+<|ref|>text<|/ref|><|det|>[[55, 268, 590, 288]]<|/det|>
+Columbia University https://orcid.org/0000- 0002- 9752- 3734
+
+<|ref|>text<|/ref|><|det|>[[44, 293, 150, 310]]<|/det|>
+Manxue Jia
+
+<|ref|>text<|/ref|><|det|>[[55, 315, 390, 333]]<|/det|>
+Aaron Diamond AIDS Research Center
+
+<|ref|>text<|/ref|><|det|>[[44, 339, 164, 357]]<|/det|>
+HanJun Zhao
+
+<|ref|>text<|/ref|><|det|>[[55, 361, 666, 381]]<|/det|>
+The University of Hong Kong https://orcid.org/0009- 0001- 9014- 6972
+
+<|ref|>text<|/ref|><|det|>[[44, 386, 196, 404]]<|/det|>
+Nicholas Morano
+
+<|ref|>text<|/ref|><|det|>[[55, 408, 846, 428]]<|/det|>
+Department of Biochemistry, Zuckerman Mind Brain Behavior Institute, Columbia University
+
+<|ref|>text<|/ref|><|det|>[[44, 433, 120, 451]]<|/det|>
+Hong Lu
+
+<|ref|>text<|/ref|><|det|>[[44, 455, 875, 498]]<|/det|>
+Aaron Diamond AIDS Research Center, Columbia University Vagelos College of Physicians and Surgeons
+
+<|ref|>text<|/ref|><|det|>[[44, 502, 154, 520]]<|/det|>
+Yin- Ming Lui
+
+<|ref|>text<|/ref|><|det|>[[44, 523, 923, 567]]<|/det|>
+State Key Laboratory for Emerging Infectious Diseases, Carol Yu Centre for Infection, Department of Microbiology, School of Clinical Medicine, Li Ka Shing Faculty of Medicine, University of Hong Kon
+
+<|ref|>text<|/ref|><|det|>[[44, 572, 140, 589]]<|/det|>
+Haijuan Du
+
+<|ref|>text<|/ref|><|det|>[[44, 592, 925, 635]]<|/det|>
+Vaccine Research Center, National Institute of Allergy and Infectious Diseases, National Institutes of Health
+
+<|ref|>text<|/ref|><|det|>[[44, 640, 171, 658]]<|/det|>
+Jordan Becker
+
+<|ref|>text<|/ref|><|det|>[[55, 662, 846, 682]]<|/det|>
+Department of Biochemistry, Zuckerman Mind Brain Behavior Institute, Columbia University
+
+<|ref|>text<|/ref|><|det|>[[44, 687, 193, 705]]<|/det|>
+Kwok- Yung Yuen
+
+<|ref|>text<|/ref|><|det|>[[55, 709, 666, 728]]<|/det|>
+The University of Hong Kong https://orcid.org/0000- 0002- 2083- 1552
+
+<|ref|>text<|/ref|><|det|>[[44, 733, 125, 750]]<|/det|>
+David Ho
+
+<|ref|>text<|/ref|><|det|>[[55, 754, 780, 774]]<|/det|>
+Columbia University Irving Medical Center https://orcid.org/0000- 0003- 1627- 149X
+
+<|ref|>text<|/ref|><|det|>[[44, 780, 156, 798]]<|/det|>
+Peter Kwong
+
+<|ref|>text<|/ref|><|det|>[[44, 801, 949, 844]]<|/det|>
+Vaccine Research Center, National Institute of Allergy and Infectious Diseases https://orcid.org/0000- 0003- 3560- 232X
+
+<|ref|>text<|/ref|><|det|>[[44, 849, 201, 867]]<|/det|>
+Lawrence Shapiro
+
+<|ref|>text<|/ref|><|det|>[[55, 870, 846, 890]]<|/det|>
+Department of Biochemistry, Zuckerman Mind Brain Behavior Institute, Columbia University
+
+<|ref|>text<|/ref|><|det|>[[44, 895, 211, 913]]<|/det|>
+Kelvin Kai- Wang To
+
+<|ref|>text<|/ref|><|det|>[[55, 917, 666, 936]]<|/det|>
+The University of Hong Kong https://orcid.org/0000- 0002- 1921- 5824
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[44, 45, 103, 63]]<|/det|>
+## Article
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 83, 135, 101]]<|/det|>
+## Keywords:
+
+<|ref|>text<|/ref|><|det|>[[44, 120, 339, 140]]<|/det|>
+Posted Date: November 7th, 2023
+
+<|ref|>text<|/ref|><|det|>[[43, 159, 474, 179]]<|/det|>
+DOI: https://doi.org/10.21203/rs.3.rs- 3429355/v1
+
+<|ref|>text<|/ref|><|det|>[[42, 196, 914, 240]]<|/det|>
+License: © This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+<|ref|>text<|/ref|><|det|>[[42, 257, 916, 344]]<|/det|>
+Additional Declarations: Yes there is potential Competing Interest. An U.S. provisional patent titled "Human Protective Neutralizing and Non-neutralizing Antibodies and Their Use against Influenza Viruses" was filed with filing No. 63/578,505 and XW, MJ, NCM, HL, DDH, KY, KKT, PDK, and LS as co- inventors.
+
+<|ref|>text<|/ref|><|det|>[[42, 378, 911, 422]]<|/det|>
+Version of Record: A version of this preprint was published at Nature Communications on May 27th, 2024. See the published version at https://doi.org/10.1038/s41467- 024- 48758- 4.
+
+<--- Page Split --->
+<|ref|>title<|/ref|><|det|>[[235, 90, 761, 112]]<|/det|>
+# Allosteric Neutralization by Human H7N9 Antibodies
+
+<|ref|>text<|/ref|><|det|>[[125, 128, 872, 220]]<|/det|>
+Manxue Jia \(^{1\dagger}\) , Hanjun Zhao \(^{2,3\dagger}\) , Nicholas C. Morano \(^{4,5\dagger}\) , Hong Lu \(^{1,5}\) , Yin- Ming Lui \(^{2}\) , Haijuan Du \(^{6}\) , Jordan E. Becker \(^{4,5}\) , Kwok- Yung Yuen \(^{2,3,7}\) , David D. Ho \(^{1,5}\) , Peter D. Kwong \(^{4,6}\) , Lawrence Shapiro \(^{4,5}\) , Kelvin Kai- Wang To \(^{2,3,7*}\) , Xueling Wu \(^{1,5*}\)
+
+<|ref|>text<|/ref|><|det|>[[72, 238, 88, 252]]<|/det|>
+5
+
+<|ref|>text<|/ref|><|det|>[[113, 268, 850, 325]]<|/det|>
+\(^{1}\) Aaron Diamond AIDS Research Center, Affiliate of Rockefeller University, New York, NY 10016, USA.
+
+<|ref|>text<|/ref|><|det|>[[112, 338, 852, 396]]<|/det|>
+\(^{2}\) State Key Laboratory for Emerging Infectious Diseases, Carol Yu Centre for Infection, Department of Microbiology, School of Clinical Medicine, Li Ka Shing Faculty of Medicine,
+
+<|ref|>text<|/ref|><|det|>[[70, 408, 815, 430]]<|/det|>
+10 University of Hong Kong, Pokfulam, Hong Kong Special Administrative Region, China.
+
+<|ref|>text<|/ref|><|det|>[[112, 443, 874, 500]]<|/det|>
+\(^{3}\) Centre for Virology, Vaccinology and Therapeutics, Hong Kong Science and Technology Park, Sha Tin, Hong Kong Special Administrative Region, China.
+
+<|ref|>text<|/ref|><|det|>[[112, 512, 870, 569]]<|/det|>
+\(^{4}\) Department of Biochemistry, Zuckerman Mind Brain Behavior Institute, Columbia University, New York, NY 10027, USA.
+
+<|ref|>text<|/ref|><|det|>[[70, 583, 859, 640]]<|/det|>
+15 \(^{5}\) Aaron Diamond AIDS Research Center, Columbia University Vagelos College of Physicians and Surgeons, New York, NY 10032, USA.
+
+<|ref|>text<|/ref|><|det|>[[112, 653, 825, 710]]<|/det|>
+\(^{6}\) Vaccine Research Center, National Institute of Allergy and Infectious Diseases, National Institutes of Health, Bethesda, MD 20892, USA.
+
+<|ref|>text<|/ref|><|det|>[[112, 722, 821, 777]]<|/det|>
+\(^{7}\) Department of Clinical Microbiology and Infection, University of Hong Kong- Shenzhen Hospital, Shenzhen, Guangdong, China.
+
+<|ref|>text<|/ref|><|det|>[[113, 809, 495, 828]]<|/det|>
+\(^{7}\) These authors contributed equally to this work.
+
+<|ref|>text<|/ref|><|det|>[[113, 844, 699, 899]]<|/det|>
+\(^{*}\) Correspondence to: Xueling Wu (email: xw2702@cumc.columbia.edu) Kelvin Kai- Wang To (email: kelvinto@hku.hk)
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[66, 87, 884, 740]]<|/det|>
+Abstract: The avian influenza A virus H7N9 causes severe human infections with more than \(30\%\) fatality despite the use of neuraminidase inhibitors. Currently there is no H7N9- specific prevention or treatment for humans. From a 2013 H7N9 convalescent case occurred in Hong Kong, we isolated four H7 hemagglutinin (HA)- reactive monoclonal antibodies (mAbs) by single B cell cloning, with three mAbs directed to the HA globular head domain (HA1) and one to the HA stem region (HA2). Two clonally related HA1- directed mAbs, H7.HK1 and H7.HK2, potently neutralized H7N9 and protected mice from a lethal H7N9/AH1 challenge. Cryo- EM structures revealed that H7.HK1 and H7.HK2 bind to a \(\beta 14\) - centered surface partially overlapping with the antigenic site D of HA1 and disrupt the 220- loop that makes hydrophobic contacts with sialic acid on the adjacent protomer, thus affectively blocking viral entry. The more potent mAb H7.HK2 retained full HA1 binding and neutralization capacity to later H7N9 isolates from 2016- 2017, which is consistent with structural data showing that the antigenic mutations of 2016- 2017 from the 2013 H7N9 only occurred at the periphery of the mAb epitope. The HA2- directed mAb H7.HK4 lacked neutralizing activity but protected mice from the lethal H7N9/AH1 challenge when engineered to mouse IgG2a enabling Fc effector function in mice. Used in combination with H7.HK2 at a suboptimal dose, H7.HK4 augmented mouse protection. Our data demonstrated an allosteric mechanism of mAb neutralization and augmented protection against H7N9 when a HA1- directed neutralizing mAb and a HA2- directed non- neutralizing mAb were combined.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[115, 90, 275, 108]]<|/det|>
+## INTRODUCTION
+
+<|ref|>text<|/ref|><|det|>[[111, 123, 875, 740]]<|/det|>
+H7N9 is an avian influenza A group 2 virus first transmitted to humans in the spring of 2013 most likely through live poultry market exposure in China (1- 3). The virus reemerged in the fall of 2013 and in the winter of later years, with the largest epidemic reported as the \(5^{\mathrm{th}}\) wave in 5 2016- 2017 (4- 6). Though there is limited evidence for human- to- human transmission, few mutations in the hemagglutinin (HA) gene of the virus might be sufficient to overcome its inefficiency for human transmission (7- 10). Like other influenza virus infections, the most common treatment against H7N9 is the neuraminidase inhibitor oseltamivir, but oseltamivir- resistant strains have emerged (11- 13). Intravenous (i.v.) zanamivir, though not clinically approved, has been used on a compassionate basis in some severe cases because of favorable pharmacokinetics and in vitro susceptibility against oseltamivir- resistant strains (14, 15); however, the effectiveness of i.v. zanamivir against H7N9 has not been validated in large clinical trials. Despite the use of neuraminidase inhibitors, H7N9 case- fatality rate remains higher than \(30\%\) , and currently there is no licensed vaccine against H7N9 for humans. An endonuclease inhibitor baloxavir marboxil, targeting the virus polymerase acid, protected mice from lethal H7N9 challenge (16), but treatment for human H7N9 infection with this inhibitor has not been reported. Concerns for a major outbreak and lack of effective treatment warrant further studies to identify and develop human monoclonal antibodies (mAbs) with potent antiviral functions against H7N9.
+
+<|ref|>text<|/ref|><|det|>[[113, 776, 868, 900]]<|/det|>
+Because HA is the major target for influenza neutralizing antibodies, H7- reactive human mAbs have been isolated and characterized from H7N9 acute infections (17), convalescent cases (18), and H7N9 experimental vaccines (19- 21). The binding sites of these mAbs have been mapped to the HA globular head (HA1) and stem (HA2) domains. A subset of HA1- directed mAbs
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[66, 87, 872, 565]]<|/det|>
+potently neutralized H7N9 and protected mice from H7N9 challenges at doses of 0.3, 1, 5 mg/kg or higher (17- 20). These HA1- directed mAbs typically neutralized H7N9 by direct interference with or around the receptor (sialic acid) binding site (17, 19, 22). These epitopes correspond to the antigenic sites of A and B as previously mapped on the surface of H3 HA (23- 25). Of note, significant antigenic drift has been documented in the HA gene of 2016- 2017 H7N9 from the initial 2013 isolates (17, 26, 27). For example, Huang et al isolated 17 neutralizing mAbs from four cases infected in 2013 and 2014, yet only three of these mAbs were active against viral isolates from 2016- 2017 (17). A broad mAb FluA- 20 targeting the HA1 trimer interface did not mediate neutralization in vitro, but protected mice from viral challenges by disrupting HA trimers and inhibiting cell- to- cell spread of virus (21). HA2- directed mAbs typically lacked neutralizing activity, yet a few of them protected mice from H7N9 challenges at 5 mg/kg (20), especially when the mAbs were engineered as mouse IgG2a that has the highest Fc- mediated effector functions in mouse (28). These studies have not tested the combination of two or more mAbs that target different regions of H7N9 HA.
+
+<|ref|>text<|/ref|><|det|>[[67, 581, 88, 595]]<|/det|>
+15
+
+<|ref|>text<|/ref|><|det|>[[66, 610, 880, 876]]<|/det|>
+In the post COVID- 19 era, preparedness for future pandemics has risen with high enthusiasm. We aim to facilitate the development of human mAbs against H7N9, which has been considered one of the most serious pandemic threats. We have obtained peripheral blood mononuclear cells (PBMCs) from a 2013 H7N9 convalescent case in Hong Kong with the virus isolated as A/Hong Kong/470129/2013 H7N9 (14). The course of this infection lasted for about one month and the treatment required extracorporeal membrane oxygenation (ECMO) and i.v. zanamivir (14). Development of plasma neutralizing antibodies was evident at recovery. The PBMC sample we used to isolate mAbs was collected one year post recovery.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[115, 90, 207, 107]]<|/det|>
+## RESULTS
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 125, 338, 143]]<|/det|>
+## H7-reactive mAb isolation
+
+<|ref|>text<|/ref|><|det|>[[111, 157, 880, 390]]<|/det|>
+For H7- specific mAb isolation, we purchased a soluble recombinant H7 HA protein based on A/Shanghai2/2013 H7N9 for biotinylation, followed by streptavidin- PE conjugation. With this H7- PE bait, we stained 5 million PBMCs from the H7N9_HK2013 donor and sorted a total of 68 \(\mathrm{IgG^{+}B}\) cells (defined as \(\mathrm{CD3^{+}CD19^{+}CD20^{+}IgG^{+}}\) ) that are H7- PE+ (Fig. 1A). Most of the sorted cells were at the borderline of H7- PE staining, but a few stained brightly for H7- PE. From the sorted B cells, we performed single B cell RT- PCR and recovered four H7- reactive mAbs – namely, H7.HK1, H7.HK2, H7.HK3, and H7.HK4.
+
+<|ref|>text<|/ref|><|det|>[[111, 400, 880, 896]]<|/det|>
+Measured by ELISA, the four reconstituted mAbs bound tightly to the H7N9 HA antigen used for H7- PE staining and to a recombinant H7N7 HA antigen based on A/Netherlands/219/2003 H7N7 (Fig. 1B, upper panels). Pre- treating the H7N9 HA with Endoglycosidase H (Endo H) had no effect on the mAb binding profiles, indicating that these mAbs do not rely on H7 glycans for binding (Fig. 1B, upper panels). After switching the ELISA coating antigen to HA1 of the matching H7N9 HA from A/Shanghai2/2013, the binding curves of H7.HK1, H7.HK2, and H7.HK3 were fully retained, indicating that these mAbs bind to the globular head domain HA1; in contrast, H7.HK4 lost binding to H7N9 HA1, indicating that its binding epitope is likely located in the HA2 stem domain (Fig. 1B, middle panels). Because of the documented antigenic drift for 2016- 2017 H7N9 isolates, we also tested the mAb binding to HA1s from A/Guangdong/17SF003/2016 H7N9 and A/Hong Kong/125/2017 H7N9. The binding curves of H7.HK1, H7.HK2, and H7.HK3 to both 2016 and 2017 HA1s were fully retained, and H7.HK4 did not bind to any HA1s (Fig. 1B, middle panels). Additionally, we tested these mAbs for binding to 6 other non- H7 HA proteins. Though H7.HK1 and H7.HK2 did not react with any non- H7 HA,
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 88, 880, 178]]<|/det|>
+H7.HK3 cross- reacted with H15N8 HA, and H7.HK4 cross- reacted with H10N8 and H15N8 HAs (Fig. 1B, lower panels), which sequence- wise are the closest to H7 in group 2 influenza HA genes (29).
+
+<|ref|>sub_title<|/ref|><|det|>[[75, 211, 384, 230]]<|/det|>
+## 5 H7-reactive mAb neutralization
+
+<|ref|>text<|/ref|><|det|>[[110, 240, 884, 896]]<|/det|>
+Using expression plasmids separately encoding H7 and N9 genes from A/Shanghai/4664T/2013 to pseudotype with HIV- 1 NL4- 3- lucAenv backbone (30), we generated the H7N9 2013 pseudotype particles and tested mAb neutralization by a luciferase readout from single round infection of MDCK cells (Fig. 1C, left). H7.HK1 and H7.HK2 each potently neutralized the H7N9 2013 pseudovirus with \(\mathrm{IC}_{50}\) of 5 and \(2\mathrm{ng / mL}\) respectively, while the other two mAbs H7.HK3 and H7.HK4 did not neutralize at up to \(10\mu \mathrm{g / mL}\) (Fig. 1C, left, Table 1). Similarly, we generated pseudovirus using an expression plasmid encoding H7 from A/Guangdong/17SF003/2016 H7N9. H7.HK2 fully retained its potent neutralization against the H7N9 2016 pseudovirus with an \(\mathrm{IC}_{50}\) of \(2\mathrm{ng / mL}\) , and H7.HK1's neutralization was reduced to an \(\mathrm{IC}_{50}\) of \(16\mathrm{ng / mL}\) , while the other two mAbs H7.HK3 and H7.HK4 did not neutralize (Fig. 1C, right, Table 1). We further assessed the mAb neutralization against three live replicating H7N9 viruses, Anhui1 (AH1), Zhejiang (ZJ), and the donor's autologous isolate A/Hong Kong/470129/2013, for multiple rounds of infection in MDCK cells. Scored by the presence of cytopathic effect, mAbs H7.HK1 and H7.HK2 neutralized all three H7N9 live isolates with \(\mathrm{IC}_{50}\) ranging \(0.3\mathrm{- }1\mu \mathrm{g / mL}\) ; however, they did not neutralize any non- H7N9 influenza isolates tested, indicating that these mAbs are specific to H7N9 (Table 1). The other two mAbs H7.HK3 and H7.HK4 did not neutralize any of the tested H7N9 and therefore were not tested against non- H7N9 viruses. The neutralization \(\mathrm{IC}_{50}\) of H7.HK1 and H7.HK2 using the pseudovirus were about 100- fold more potent than those using the live replicating viruses, suggesting that the pseudovirus neutralization
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[113, 90, 877, 178]]<|/det|>
+is more sensitive thus useful for initial screening of neutralizing mAbs, which could then be confirmed with live replicating viruses. Similar differences in IC₅₀ values have been reported for other HA-reactive mAbs tested by both pseudovirus and live replicating virus (31).
+
+<|ref|>table<|/ref|><|det|>[[106, 250, 890, 373]]<|/det|>
+<|ref|>table_caption<|/ref|><|det|>[[115, 228, 872, 248]]<|/det|>
+Table 1 Neutralization ICso of H7.HK mAbs against pseudovirus or live replicating virus
+
+| mAb ID | Neutralization IC50 (μg/mL) in MDCK cells |
| H7N9 2013 pseudovirus | H7N9 2016 pseudovirus | H7N9/ AH1 | H7N9/ ZJ | H7N9/HK 470129 | H3N2/ 400500 | H1N1/ 415742 | H5N1/ 459094 | H5N1/ 1194 | H9N2/ 1073 |
| H7.HK1 | 0.005 | 0.016 | 0.3 | 0.3 | 0.4 | >30 | >30 | >30 | >>30 | >30 |
| H7.HK2 | 0.002 | 0.002 | 0.3 | 1.0 | 0.9 | >30 | >30 | >30 | >>30 | >>30 |
| H7.HK3 | >10 | >10 | >30 | >30 | ND | ND | ND | ND | ND | ND |
| H7.HK4 | >10 | >10 | >30 | >30 | ND | ND | ND | ND | ND | ND |
+
+<|ref|>table_footnote<|/ref|><|det|>[[113, 372, 280, 385]]<|/det|>
+"ND" indicates "not done".
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 420, 350, 439]]<|/det|>
+## H7-reactive mAb sequences
+
+<|ref|>text<|/ref|><|det|>[[66, 454, 884, 893]]<|/det|>
+Sequence analysis revealed that all four H7.HK mAbs are IgG1 (Table 2). H7.HK1 and H7.HK2 are clonal variants using IGHV4- 59 for heavy chain with 8- 10% somatic hypermutation (SHM) and a complementarity- determining region (CDR) H3 of 11 amino acids according to the Chothia definition (32- 34), and IGKV2- 28 for light chain with 6% SHM and a CDR L3 of 9 amino acids. Though clonally related, H7.HK1 and H7.HK2 share only 3 out of 13- 15 amino acid SHMs in the heavy chain V- gene and 1 out of 8 amino acid SHMs in the light chain V- gene (Supplementary Fig. 1). A putative N- linked glycosylation site is present in the light chain CDR L1 of H7.HK1 and H7.HK2. H7.HK3 uses IGHV7- 4- 1 for heavy chain with 7% SHM and a CDR H3 of 14 amino acids, and IGKV1- 5 for light chain with 5% SHM and a CDR L3 of 8 amino acids. A putative N- linked glycosylation site is also present in H7.HK3 at the heavy chain CDR H2. H7.HK4 uses IGHV4- 61 for heavy chain with 7% SHM and a CDR H3 of 13 amino acids, and IGKV1- 16 for light chain with 5% SHM and a CDR L3 of 9 amino acids (Table 2, Supplementary Fig. 1).
+
+<--- Page Split --->
+<|ref|>table<|/ref|><|det|>[[105, 108, 892, 261]]<|/det|>
+<|ref|>table_caption<|/ref|><|det|>[[150, 90, 844, 109]]<|/det|>
+Table 2 Genetic composition, epitope, and neutralization function of H7.HK mAbs
+
+| mAb ID | Origin | Time point | Isotype | V-gene (SHM%) | CDR3 length in amino acid | Epitope | Neutralization |
| H7.HK1 | Human | 1 year post recovery | IgG1 | HV4-59 (8%) KV2-28 (6%) | H3: 11, L3: 9 | H7 HA1 | Yes |
| H7.HK2 | Human | 1 year post recovery | IgG1 | HV4-59 (10%) KV2-28 (6%) | H3: 11, L3: 9 | H7 HA1 | Yes |
| H7.HK3 | Human | 1 year post recovery | IgG1 | HV7-4-1 (5%) KV1-5 (7%) | H3: 14, L3: 8 | H7 HA1 | No |
| H7.HK4 | Human | 1 year post recovery | IgG1 | HV4-61 (7%) KV1-16 (5%) | H3: 13, L3: 9 | H7 HA2 | No |
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 294, 352, 312]]<|/det|>
+## H7-reactive mAb structures
+
+<|ref|>text<|/ref|><|det|>[[72, 334, 875, 880]]<|/det|>
+For structural analysis, we generated the antibody fragments for antigen binding (Fabs) and expressed the H7 HA trimer by transient transfection of Expi293F cells. We froze grids containing the Fab:HA complexes and determined cryo- EM structures of each Fab bound to an H7 HA trimer. A resolution of \(3.62 \AA\) for H7.HK1 and \(3.69 \AA\) for H7.HK2 was achieved (Fig. 2A, Supplementary Fig. 2, Table S1). These complex structures demonstrate that H7.HK1 and H7.HK2 are highly superimposable (Fig. 2B) and their interactions with H7 are centered at \(\beta 14\) and extended to the surfaces of \(\beta 10\) and \(\beta 19\) (Fig. 2C). This \(\beta 14\) - targeting surface partially overlaps with the antigenic site D towards sites A and B as previously mapped on H3 (23, 25). Analysis of the H7.HK1 epitope demonstrates that most interactions are driven by the heavy chain and consist of seven hydrogen bonds (Y52:E111, R97:G114, G102:S158, D103:T116, Y104:T156, Y104:S158, S106:T116) and one salt bridge (H53:E111) (Fig. 2D). The light chain is less involved in binding, making only one hydrogen bond (Y54:Q154) and weak hydrophobic interactions (Fig. 2E). The light chain of both H7.HK1 and H7.HK2 are glycosylated in CDR L1; this glycan plays no role in binding, but there is good density to support its presence. The epitope of H7.HK2 is similar to that of H7.HK1, only differing in slight contacts on the periphery (Supplementary Fig. 3A). Additionally, nearly all hydrogen bonds are conserved
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[66, 88, 870, 250]]<|/det|>
+between the two antibodies (Supplementary Fig. 3B). However, the substitution of F61S in CDR L2 of H7.HK2 results in an additional hydrogen bond with HA G119. This substitution also shifts the orientation of H7.HK2 CDR L2 slightly so that Y54 interacts with T156 for H7.HK2 instead of Q154 for H7.HK1 (Supplementary Fig. 3C). Finally, as H53 is substituted with tyrosine in the heavy chain of H7.HK2, it does not make the H53:E111 salt bridge.
+
+<|ref|>text<|/ref|><|det|>[[65, 301, 884, 888]]<|/det|>
+To analyze the mechanism of neutralization, we first compared the binding site of H7.HK1 to that of four other H7- reactive antibodies with published structures, L4A- 14, L4B- 18, L3A- 44 (PDB: 6II4, 6II8, 6II9) (17) and H7.167 (PDB: 5V2A) (19). This analysis demonstrates that the binding site of H7.HK1 is almost completely distinct from that of these previously published antibodies, which compete for the receptor binding site (RBS) (Fig. 2F). The binding site of H7.HK1 is also distant from that of 07- 5F01, which was mapped to an escape mutation R65K (corresponding to R47K here) of HA1 (20) (Fig. 2F). Strikingly, the epitope of H7.HK1 (β14- centered) is extremely distal to the RBS of the protomer it interacts with and is closer to the RBS on the adjacent protomer. To further examine the relationship between the mAb binding site and RBS, the human receptor analogue Sialylneolacto- N- tetraose c (LSTc) was modeled into the RBS of H7 (PDB: 4BSE) (35) in the H7.HK1 complex. Interestingly, there were no steric clashes between H7.HK1 and sialic acid bound to the adjacent protomer, and no mAb interaction with RBS (Fig. 2G). However, the HA 220- loop (G209- G219) that makes hydrophobic contacts with sialic acid has no density present in the structure of H7.HK1 or H7.HK2 bound to HA, suggesting that these antibody binding causes 220- loop to become disordered. All previously examined H7 structures, as well as an additional cryo- EM structure in which Fab 1D12 is bound to the stem region of H7 HA (PDB: 6WXL) (36) have consistent electron density accounting for
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[65, 87, 870, 421]]<|/det|>
+this loop. Alignments of the H7.HK1 complex structure with the crystal structure of H7 HA bound to LSTc (PDB: 4BSE) (35) demonstrate where the 220- loop would be when receptor is bound and that the light chain of H7.HK1 would clash with this loop (Fig. 2H), further supporting that H7.HK1 and H7.HK2 act by causing 220- loop to become disordered, thus preventing its interactions with the sialic acid receptor. The HA1 trimer interface mAb FluA- 20 interacts with the non- RBS side of 220- loop on the protomer it interacts with (21). To our knowledge, the allosteric mechanism of neutralization employed by H7.HK1 and H7.HK2 is distinct from previously reported HA1- directed H7N9 neutralizing mAbs, which all directly compete with sialic acid for binding to HA on the protomer they interact with (17, 19, 21, 22, 37).
+
+<|ref|>text<|/ref|><|det|>[[65, 470, 872, 808]]<|/det|>
+Since the H7N9 HA gene has significantly evolved and changed in 2016- 2017 compared to that of 2013 (with up to 13 amino acid substitutions in HA1), we examined the locations of mutated residues in the epitopes of H7.HK1 and H7.HK2 that consist of 32 contacting residues in HA1 for both mAbs (Supplementary Fig. 4A). There are four mutations in the binding site of H7.HK1 and H7.HK2 – namely, A112T/P, S118N, G119E, and R163K, appeared in 2016- 2017 compared to the 2013 H7N9, and all four mutations are located at one side edge of the epitopes (Supplementary Fig. 4B), thus not altering the mAb interactions with HA1. This analysis is in consistency with the intact binding of H7.HK1 and H7.HK2 to both 2016 and 2017 HA1s aligned to the 2013 HA1 (Fig. 1B, middle panels) and H7.HK2’s full retention of neutralization against the H7N9 2016 pseudovirus (Fig. 1C).
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[115, 90, 411, 109]]<|/det|>
+## H7-reactive mAb mouse protection
+
+<|ref|>text<|/ref|><|det|>[[111, 123, 876, 600]]<|/det|>
+H7-reactive mAb mouse protectionWe next assessed the prophylactic and therapeutic effect of H7.HK mAbs as human IgG1 in a mouse lethal challenge model. To assess mAb prophylactic effect, balb/c mice (n = 5- 10 per group from 1- 2 experiments) were injected intraperitoneally (i.p.) with human H7N9 mAbs one day before intranasal (i.n.) challenge of 10- fold 50% lethal dose (10 LD50) of A/Anhui/1/2013 H7N9 virus. Given 100 μg per mouse (equivalent to 5 mg/kg), the neutralizing mAbs H7.HK1 and H7.HK2 each fully protected mice without apparent weight loss (Fig. 3A, top panels); given 20 μg per mouse (equivalent to 1 mg/kg), H7.HK2 still fully protected mice from death (defined as \(\geq 20\%\) weight loss), with up to 8% average weight loss; H7.HK1 protected 7 out of 10 mice from death, with up to 12% average weight loss for mice that survived (Fig. 3A, upper middle panels). By day 2 post challenge, the weight preservation was significantly better in mice receiving 20 μg of H7.HK1 or H7.HK2 than mice receiving the placebo mAb or phosphate buffered saline (PBS). Mice receiving the non- neutralizing mAbs H7.HK3 or H7.HK4 (100 μg or 20 μg) were not protected and showed no difference from placebo mAb and PBS controls (Fig. 3A, top and upper middle panels).
+
+<|ref|>text<|/ref|><|det|>[[67, 644, 883, 876]]<|/det|>
+Since anti- HA2 stem mAbs have demonstrated Fc- mediated protection against influenza (38), we converted the anti- HA2 non- neutralizing mAb H7.HK4 to mouse IgG2a (mIgG2a) – an isotype that mediates strong Fc effector function in mice, and tested it for prophylaxis in the mouse challenge model, along with mouse IgG1 (mIgG1), which lacks Fc effector function in mice (28). Given 100 μg per mouse, H7.HK4 mIgG2a but not mIgG1 protected 4 out of 5 mice from death, with up to 17% average weight loss for mice that survived (Fig. 3A, lower middle panels). By day 3 post challenge, the weight preservation was significantly better in mice receiving
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 88, 885, 214]]<|/det|>
+H7.HK4 mIgG2a than mice receiving H7.HK4 mIgG1 or placebo mIgG2a. Though survived, mice receiving \(100\mu \mathrm{g} \mathrm{H7.HK4 mIgG2a}\) lost more weight than those receiving \(20\mu \mathrm{g}\) neutralizing mAbs H7.HK1 or H7.HK2 (Fig. 3A, upper middle panels), indicating less prophylaxis efficiency for H7.HK4 (as mIgG2a) than H7.HK1 and H7.HK2.
+
+<|ref|>text<|/ref|><|det|>[[112, 262, 877, 563]]<|/det|>
+Since the H7.HK2 and H7.HK4 mAbs bind to different sites on the HA and protect through different mechanisms, we tested the combination of suboptimal dose of \(20\mu \mathrm{g} \mathrm{H7.HK2}\) (as human IgG1) with \(100\mu \mathrm{g} \mathrm{H7.HK4 mIgG2a}\) in the mouse challenge model, using \(20\mu \mathrm{g} \mathrm{H7.HK2}\) (as human IgG1) with \(100\mu \mathrm{g} \mathrm{H7.HK4 mIgG1}\) as a control. Compared to this control group, which protected 9 out of 10 mice from death and lost up to \(11\%\) body weight for mice that survived, the combination of \(20\mu \mathrm{g}\) of H7.HK2 (as human IgG1) with \(100\mu \mathrm{g} \mathrm{H7.HK4 mIgG2a}\) fully protected mice from death, with only up to \(7\%\) weight loss, and the weight difference was statistically significant between these two groups since day 3 post challenge (Fig. 3A, bottom panels), indicating a beneficial role of H7.HK4 in the mAb combination regimen.
+
+<|ref|>text<|/ref|><|det|>[[112, 611, 875, 876]]<|/det|>
+To assess mAb therapeutic effects, we first i.n. challenged mice ( \(\mathrm{n} = 5 - 10\) per group from 1- 2 experiments) with \(10 \mathrm{LD}_{50}\) of A/Anhui/1/2013 H7N9 virus, waited for one day, and then on day 1 post challenge i.p. injected mice with \(100 \mu \mathrm{g} \mathrm{H7.HK1}\) or H7.HK2 as human IgG1, or H7.HK4 as mIgG2a (Fig. 3B). Twelve and 13 out of 15 mice receiving \(100 \mu \mathrm{g} \mathrm{H7.HK1}\) or H7.HK2 one day after viral challenge initially lost weight similarly to placebo and PBS controls but then started to recover on day 5 after challenge. Therefore, the neutralizing mAbs H7.HK1 and H7.HK2 showed both prophylactic and therapeutic efficacies in the mouse lethal challenge model. None of the 5 mice receiving \(100 \mu \mathrm{g} \mathrm{H7.HK4 mIgG2a}\) one day after challenge survived
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[113, 88, 865, 144]]<|/det|>
+(Fig. 3B), indicating that H7.HK4 as mIgG2a demonstrated measurable prophylactic effect but not therapeutic efficacy.
+
+<|ref|>sub_title<|/ref|><|det|>[[114, 194, 238, 212]]<|/det|>
+## DISCUSSION
+
+<|ref|>text<|/ref|><|det|>[[70, 227, 886, 494]]<|/det|>
+Already endemic, adapted, and evolved in humans for 10 years, H7N9 continues to post risk and infect human cases exposed to infected poultry in China. While the current risk to public health is low, the pandemic potential of H7N9 is especially concerning if it were to gain the ability of sustained human- to- human transmission. Based on its biological features such as dual affinity for avian and human receptors, high case- fatality rate, resistance to neuraminidase inhibitors, and lack of pre- existing immunity in the human populations, there is an immediate need and interest to develop human mAb prophylaxis and therapeutics against H7N9, to which a specific treatment or licensed vaccine (for humans) is not available.
+
+<|ref|>text<|/ref|><|det|>[[65, 540, 883, 877]]<|/det|>
+In this study, we identified two HA1- directed clonally related human mAbs, H7.HK1 and H7.HK2, that neutralized H7N9 with potencies and mouse protection efficacies (prophylactic and therapeutic) in line with the best of previously reported H7N9 mAbs. Specifically, a combined phage library from three H7N9 convalescent cases yielded a single neutralizing mAb clone (18). Despite possible nonnative heavy and light chain pairing from phage display, the best member of the mAb clone, HNIgGA6, neutralized H7N9 and protected mice against a lethal challenge at 5 mg/kg with up to about 10% weight loss (18). Likewise, from a study of four H7N9 acutely infected cases, the best mAb L4A- 14 cloned from plasmablast protected mice against a lethal challenge at 10 mg/kg with up to about 10% weight loss (17). The most potent mAb H7.167 from a study of EBV transformed B cells from five representative H7N9
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 88, 875, 355]]<|/det|>
+experimental vaccines neutralized H7N9 and protected mice against a sub- lethal challenge of H7- PR8 at \(1.65\mathrm{mg / kg}\) without apparent weight loss (19). The best HA1- directed neutralizing mAb 07- 5F01 from a study of H7N9 experimental vaccines' plasmalasts protected mice against a lethal challenge at \(0.3\mathrm{mg / kg}\) without apparent weight loss (20). The broad HA1 trimer interface mAb FluA- 20 from a healthy donor with extensive influenza vaccinations lacked in vitro neutralization but protected mice against a sub- lethal challenge of H7- PR8 at \(10\mathrm{mg / kg}\) without apparent weight loss (21). In comparison, H7. HK1 and H7. HK2 protected mice against a lethal challenge at \(1\mathrm{mg / kg}\) with up to \(12\%\) weight loss.
+
+<|ref|>text<|/ref|><|det|>[[67, 400, 883, 844]]<|/det|>
+We have also structurally defined the epitopes of H7. HK1 and H7. HK2 to the \(\beta 14\) - centered surface of H7 HA1, partially overlapping with the antigenic site D rather than the commonly targeted RBS and trimer interface by previous H7N9 mAbs (37), including the best reported human mAbs discussed above. Structural alignments and comparisons demonstrated that H7. HK1 and H7. HK2 interacted with H7 completely differently from L4A- 14, H7. 167, 07- 5F01, and FluA- 20. By escape mutations, a previous H3 neutralizing mAb D1- 8 was mapped to the lower part of antigenic site D towards site E (39); this epitope partially overlaps with the H7. HK1 and H7. HK2 epitope described here. However, without structural data, the action of neutralization by D1- 8 cannot be determined. Importantly, D1- 8 does not react to H7, and likewise, H7. HK1 and H7. HK2 do not react to H3. Hence, D1- 8 cannot replace the anti- H7N9 function of H7. HK1 and H7. HK2. The unique \(\beta 14\) - targeting epitope on HA1 would render H7. HK1 and H7. HK2 favorable candidates for combination prophylaxis and therapy against H7N9 to augment protection efficacy and increase the genetic barrier for viral escape.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[66, 87, 886, 633]]<|/det|>
+H7N9 has evolved over time and its HA gene has significantly changed in 2016- 2017 compared to that of 2013. Consequently, most neutralizing mAbs isolated from individuals infected or vaccinated with the 2013 H7 HA lost reactivity to 2016- 2017 isolates, requiring updated H7 immunogens for mAb and vaccine development (17). We show that four mutations appeared in 2016- 2017 are located at the periphery of the H7.HK1 and H7.HK2 epitopes and confirmed that the binding profiles of H7.HK1 and H7.HK2 are intact to both 2016 and 2017 HA1s as compared to 2013 HA1. We also showed that H7.HK2 fully retained its potent neutralization (IC \(_{50}\) of 2 ng/mL) against the H7N9 2016 pseudovirus, while H7.HK1's neutralization IC \(_{50}\) was weakened from 5 to 16 ng/mL. Previous protective mAbs such as HNIgGA6 (18), H7.167 (19), and 075F01 (20) were not evaluated for reactivity to H7N9 2016- 2017 isolates. L4A- 14 was active against A/Guangdong/TH005/2017 (an avian virus related to A/Guangdong/17SF003/2016) but required 10 mg/kg, compared to 1 mg/kg of H7.HK1 and H7.HK2, for mice protection with up to about 10% weight loss (17). Compared to a 2013 H7N9 isolate, the neutralization IC \(_{50}\) of 075F01 was reduced by more than 100- fold against A/mallard/Netherlands/12/2000 H7N7 (20), and H7.167 did not recognize H7 from A/Netherlands/219/2003 H7N7 (19), to which all four H7.HK mAbs from the present study bound tightly.
+
+<|ref|>text<|/ref|><|det|>[[66, 680, 883, 876]]<|/det|>
+Lastly, we tested a suboptimal dose of H7.HK2 combining with the HA2- directed non- neutralizing mAb H7.HK4 against mouse lethal challenge. Compared to HA1 (head region of HA), HA2 (stem region) is genetically more conserved. Hence, HA2- directed mAbs typically display broader recognition of HA subtypes than HA1- directed mAbs. This is indeed the case for H7.HK4, i.e., in addition to H7N9 and H7N7, it also recognized the HAs from H10N8 and H15N8, to which both H7.HK1 and H7.HK2 had no reactivity. When converted to mouse IgG2a
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 88, 879, 178]]<|/det|>
+enabling Fc effector function in mice, H7.HK4 demonstrated measurable prophylactic protection at \(5\mathrm{mg / kg}\) and augmented mouse protection of H7.HK2, supporting the inclusion of HA2- directed antibodies in a mAb combination regimen against H7N9.
+
+<|ref|>text<|/ref|><|det|>[[75, 217, 866, 485]]<|/det|>
+5 In summary, from a 2013 H7N9 convalescent case occurred in Hong Kong, we isolated two clonally related HA1- directed neutralizing mAbs, H7.HK1 and H7.HK2, that demonstrated prophylactic and therapeutic efficacies in a mouse lethal challenge model. Cryo- EM structures revealed a \(\beta 14\) - centered site of vulnerability targeted by H7.HK1 and H7.HK2, which allowed full binding and neutralization capacity of H7.HK2 to the later 2016- 2017 H7N9 isolates. This unique epitope renders H7.HK2 a favorable candidate for combination prophylaxis and therapy against H7N9, which may include multiple HA1- directed neutralizing mAbs targeting different epitopes and benefit from the inclusion of HA2- directed mAbs as well.
+
+<|ref|>sub_title<|/ref|><|det|>[[114, 534, 218, 551]]<|/det|>
+## METHODS
+
+<|ref|>sub_title<|/ref|><|det|>[[70, 569, 378, 587]]<|/det|>
+## 15 Collection of human specimens
+
+<|ref|>text<|/ref|><|det|>[[112, 601, 866, 727]]<|/det|>
+A blood specimen was collected from the H7N9_HK2013 patient about one year after recovery from a hospitalized severe H7N9 infection. Written informed consent was obtained from the patient. The study was approved by the Institutional Review Board (IRB) of the University of Hong Kong and the Hospital Authority (Reference number: UW- 13- 265).
+
+<|ref|>sub_title<|/ref|><|det|>[[114, 777, 440, 795]]<|/det|>
+## Plasmids, viruses, antibodies, and cells
+
+<|ref|>text<|/ref|><|det|>[[113, 811, 840, 900]]<|/det|>
+Expression plasmids encoding the H7 hemagglutinin and N9 neuraminidase based on A/Shanghai/4664T/2013 H7N9 strain were obtained from Dr. Jianqing Xu (30). Codon- optimized gene encoding the H7 hemagglutinin of A/Guangdong/17SF003/2016 H7N9 was
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[67, 87, 876, 633]]<|/det|>
+synthesized (Twist Bioscience) and cloned into pcDNA3.1 (Invitrogen). HIV- 1 pNL4- 3. Luc.RE- backbone was obtained through the NIH HIV Reagent Program, as contributed by Dr. Nathaniel Landau. These plasmids were used to co- transfect 293T cells (ATCC, Manassas, VA) to generate H7N9 2013 and 2016 pseudoviruses. All live replicating influenza A viruses used in this study were isolated from patients and include A/Hong Kong/470129/2013 H7N9 (14), A/Zhejiang/DTID-ZJU01/2013 H7N9 (3), A/Anhui/1/2013 H7N9 (obtained from the China Center for Disease Control and Prevention), A/Vietnam/1194/2004 H5N1, A/Hong Kong/459094/2010 H5N1, A/Hong Kong/1073/1999 H9N2, A/Hong Kong/415742/2009 H1N1, and A/Hong Kong/400500/2015 H3N2. The non- H7N9 placebo mAb used in this study, AD358_n1, has been described (40) and is specific to HIV- 1 gp120. Human embryonic kidney 293 cell line, of which the sex is female, is the parental cell for 293T and Expi293F cell lines. 293T was obtained from ATCC and maintained as adherent cells in complete DMEM medium at \(37^{\circ}\mathrm{C}\) . 293T is highly transfectable and contains SV40 T- antigen. Expi293F was obtained from ThermoFisher and adapted to suspension culture in Expi293 Expression Medium at \(37^{\circ}\mathrm{C}\) . The Madin- Darby Canine Kidney (MDCK) cell line, of which the sex is female, was obtained from ATCC and maintained as adherent cells in complete DMEM medium at \(37^{\circ}\mathrm{C}\) .
+
+<|ref|>sub_title<|/ref|><|det|>[[113, 682, 657, 702]]<|/det|>
+## Single B cell sorting by fluorescence activated cell sorter (FACS)
+
+<|ref|>text<|/ref|><|det|>[[66, 715, 864, 875]]<|/det|>
+A soluble recombinant HA antigen based on A/Shanghai/2/2013 H7N9 (Immune Technologies, New York, NY) was biotinylated, followed by streptavidin mediated conjugation of phycoerythrin (PE) (Invitrogen). PBMCs were stained with an antibody cocktail to CD3- PECF594 (BD Biosciences, San Jose, CA), CD19- PE- Cy7 (BioLegend, San Diego, CA), CD20- APC- Cy7 (BioLegend), IgG- FITC (BD Biosciences), and IgM- V450 (BD Biosciences). In
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[65, 87, 875, 355]]<|/det|>
+addition, live/dead yellow stain (Invitrogen) was used to exclude dead cells. After washing, cells were sorted using a multi- laser MoFlo sorter (Beckman Coulter, Jersey City, NJ). Fluorescence compensation was performed with anti- mouse Ig kappa chain beads (BD Biosciences) stained with each antibody in a separate tube. Individual B cells were sorted into a 96- well PCR plate, each well containing \(20 \mu \mathrm{L}\) lysis buffer, composed of \(0.5 \mu \mathrm{L}\) RNaseOut (Invitrogen), \(5 \mu \mathrm{L}\) 5x first- strand buffer, \(1.25 \mu \mathrm{L} 0.1 \mathrm{M} \mathrm{DT} \mathrm{T}\) , and \(0.0625 \mu \mathrm{L}\) Igepal (Sigma, St. Louis, MO). The PCR plate with sorted cells was frozen on dry- ice and then stored at \(- 80^{\circ} \mathrm{C}\) . The total cell sample passing through the sorter was analyzed with FlowJo (TreeStar, Cupertino, CA).
+
+<|ref|>sub_title<|/ref|><|det|>[[70, 402, 510, 423]]<|/det|>
+## 10 Single B cell RT-PCR, sequencing, and cloning
+
+<|ref|>text<|/ref|><|det|>[[65, 435, 880, 880]]<|/det|>
+From each sorted cell, the variable regions of IgG heavy and light chains were amplified by RT- PCR and cloned into expression vectors as previously described (40). Briefly, frozen plates with single B- cell RNA were thawed at room temperature, and RT was carried out by adding into each well \(3 \mu \mathrm{L}\) random hexamers at \(150 \mathrm{ng} / \mu \mathrm{L}\) (Gene Link, Hawthorne, NY), \(2 \mu \mathrm{L}\) dNTP (each at \(10 \mathrm{mM}\) ), and \(1 \mu \mathrm{L}\) SuperScript II (Invitrogen), followed by incubation at \(42^{\circ} \mathrm{C}\) for \(2 \mathrm{h}\) . We note that these RT parameters may be suboptimal to those described previously (41, 42). After RT, \(25 \mu \mathrm{L}\) water was added to each well to dilute cDNA, and the cDNA plates were stored at \(- 20^{\circ} \mathrm{C}\) for later use. The variable regions of heavy, kappa, and lambda chains were amplified independently by nested PCR in \(50 \mu \mathrm{L}\) , using \(5 \mu \mathrm{L}\) cDNA as template, with HotStarTaq Plus DNA polymerase (Qiagen) and primer mixes as described (41, 43). Cycler parameters were \(94^{\circ} \mathrm{C}\) for \(5 \mathrm{m}\) , 50 cycles of \(94^{\circ} \mathrm{C}\) for \(30 \mathrm{s}\) , \(52 - 55^{\circ} \mathrm{C}\) for \(30 \mathrm{s}\) , and \(72^{\circ} \mathrm{C}\) for \(1 \mathrm{m}\) , followed by \(72^{\circ} \mathrm{C}\) for \(10 \mathrm{m}\) . The PCR amplicons were subjected to direct Sanger sequencing, and the antibody sequences were analyzed using IMGT/V- QUEST. Selected PCR sequences that gave productive gamma,
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 872, 250]]<|/det|>
+kappa, and lambda chain rearrangements were re- amplified with custom primers containing unique restriction digest sites and cloned into the corresponding human gamma, kappa, and lambda chain expression vectors as described (40- 42). Full IgG1 was expressed by co- transfecting Expo293F cells (ThermoFisher) with equal amounts of paired heavy and light chain plasmids and purified using recombinant Protein A agarose (ThermoFisher).
+
+<|ref|>sub_title<|/ref|><|det|>[[113, 299, 487, 318]]<|/det|>
+## ELISA, with and without Endo H treatment
+
+<|ref|>text<|/ref|><|det|>[[111, 330, 876, 842]]<|/det|>
+H7N9 HA and HA1 based on A/Shanghai/2/2013, A/Guangdong/17SF003/2016, A/Hong Kong/125/2017, and H7N7 HA based on A/Netherlands/219/2003 were purchased (Immune Technologies, New York, NY). Other non- H7 HA proteins were also purchased (Sino Biological, Chesterbrook, PA). ELISA plates were coated with HA or HA1 antigens at \(2 \mu \mathrm{g / mL}\) in PBS overnight at \(4^{\circ}\mathrm{C}\) . For Endo H treatment, the required amount of antigen was diluted in 10x buffer and mixed with \(1 \mu \mathrm{L}\) Endo H (New England BioLabs, Ipswich, MA) for \(1 \mathrm{~h}\) at \(37^{\circ}\mathrm{C}\) ; an equal amount of antigen (untreated) was processed under identical condition without Endo H. Both treated and untreated antigens were then diluted in PBS to coat ELISA plates at \(2 \mu \mathrm{g / mL}\) . Coated plates were blocked with \(1\%\) BSA (bovine serum albumin) in PBS for \(1 \mathrm{~h}\) at \(37^{\circ}\mathrm{C}\) , followed by incubation with serially diluted mAbs for \(1 \mathrm{~h}\) at \(37^{\circ}\mathrm{C}\) . Horseradish peroxidase (HRP)- conjugated goat anti- human IgG Fc (Jackson ImmunoResearch, West Grove, PA) was added at \(1:10,000\) for \(1 \mathrm{~h}\) at \(37^{\circ}\mathrm{C}\) . All ELISA incubation volumes were \(100 \mu \mathrm{L}\) /well except that \(200 \mu \mathrm{L}\) /well was used for blocking. Plates were washed between steps with \(0.1\%\) Tween 20 in PBS and developed with \(3,3^{\prime},5,5^{\prime}\) - tetramethylbenzidine (TMB) (Novex, Life Technologies) for \(5 \mathrm{~m}\) , with \(1 \mathrm{M} \mathrm{H}_{2} \mathrm{SO}_{4}\) as terminator and read at \(450 \mathrm{~nm}\) .
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[115, 90, 347, 109]]<|/det|>
+## H7N9 neutralization assays
+
+<|ref|>text<|/ref|><|det|>[[111, 123, 883, 533]]<|/det|>
+H7N9 neutralization assaysH7N9 neutralization was first measured with a single- round infection of MDCK cells using H7N9 2013 and 2016 pseudoviruses as described (30). Neutralization curves were fitted by a 5- parameter nonlinear regression built in Prism (GraphPad Software, La Jolla, CA). The 50% inhibitory titers (IC50s) were reported as the antibody concentrations required to inhibit infection by 50%. H7N9 neutralization was next measured using live replicating influenza viruses to infect MDCK cells as described (44). Briefly, serially diluted mAbs were incubated with 100 TCID50 (50% tissue culture infective dose) of an influenza virus at 37°C for 2 h, and 100 μL virus- mAb mixture was added to MDCK cells. After 1 h incubation, the virus- mAb mixture was removed, and minimum- essential medium with 2 μg/mL L- 1- tosylamide- 2- phenylethylchloromethyl ketone- treated trypsin (TPCK- trypsin) was added to each well. The plates were then incubated for 72 h, and cytopathic effects were recorded. The mAb concentration that protected 50% of 5 replicate wells from cytopathology was reported as IC50.
+
+<|ref|>sub_title<|/ref|><|det|>[[70, 565, 275, 583]]<|/det|>
+## H7 HA production
+
+<|ref|>text<|/ref|><|det|>[[110, 597, 877, 899]]<|/det|>
+H7 HA productionSoluble, disulfide- stabilized, fully cleaved H7 HA trimers were produced by transient cotransfection of plasmids encoding H7 HA (H7 SH13 DS2 6R) and Furin of Expi293F cells (Life Technologies) using Turbo293 transfection Reagent (Speed biosystem). After 5 days at 37°C, culture supernatants were harvested by centrifugation and concentrated 5- fold by Tangential Flow Filtration. The recombinant HA trimer was captured by Ni- NTA (Sigma- Aldrich) through a C- terminal 6xHis- tag. The imidazole eluant was combined 1:1 (v/v) with saturated ammonium sulfate, centrifuged at 4°C, and pellet removed. The supernatant was dialyzed against 500 mM NaCl, 50 mM Tris pH 8, and purified by size exclusion chromatography on a Superdex 200 Increase 10/300 GL column (Cytiva).
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[115, 90, 370, 109]]<|/det|>
+## Human mAb Fab preparation
+
+<|ref|>text<|/ref|><|det|>[[111, 123, 880, 285]]<|/det|>
+Human mAb Fab Fab preparationHuman mAb Fab fragments were produced by digestion of the full IgG antibodies with immobilized Papain (ThermoFisher) equilibrated with \(25~\mathrm{mM}\) phosphate, \(150~\mathrm{mM}\) NaCl, pH 10, and \(2\mathrm{mM}\) EDTA for \(3\mathrm{h}\) . The resulting Fabs were purified from the cleaved Fc domain by affinity chromatography using protein A. Fab purity was analyzed by SDS- PAGE. All Fabs were buffer- exchanged into \(25~\mathrm{mM}\) phosphate, \(150~\mathrm{mM}\) NaCl, pH 7.0 prior to cryo- EM experiments.
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 333, 745, 353]]<|/det|>
+## Cryo-EM sample preparation, data collection, and structure determination
+
+<|ref|>text<|/ref|><|det|>[[67, 365, 884, 808]]<|/det|>
+To determine the structures of H7. HK1 and H7. HK2 with H7 HA trimer, trimer was mixed with the antibody Fab at 1 to 1.2 molar ratio at a final total protein concentration of \(\sim 1\mathrm{mg / mL}\) and adjusted to a final concentration of \(0.005\%\) (w/v) n- Dodecyl \(\beta\) - D- maltoside (DDM) to prevent preferred orientation and aggregation during vitrification. Cryo- EM grids were prepared by applying \(3\mu \mathrm{L}\) of sample to a freshly glow discharged carbon- coated copper grid (CF 1.2/1.3 300 mesh). The sample was vitrified in liquid ethane using a Vitrobot Mark IV with a wait time of 30 s, a blot time of 3 s, and a blot force of 0. Cryo- EM data were collected on a Titan Krios operating at \(300\mathrm{keV}\) , equipped with a K3 detector (Gatan) operating in counting mode. Data were acquired using Legion (45). The dose was fractionated over 50 raw frames. For all structures, the movie frames were aligned and dose- weighted (46) using cryoSPARC 3.4 (47); the CTF estimation, particle picking, 2D classifications, ab initio model generation, heterogeneous refinements, homogeneous 3D refinements and non- uniform refinement calculations were carried out using cryoSPARC 3.4 (47).
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[115, 90, 444, 109]]<|/det|>
+## Atomic model building and refinement
+
+<|ref|>text<|/ref|><|det|>[[112, 123, 879, 355]]<|/det|>
+For structural determination, a model of the antibody Fab was generated using SAbPred (48). The Fab model and the crystal structure of an H7 HA mutant (PDB: 6IDD) (10) was docked into the cryo- EM density map using UCSF Chimera (49) to build an initial model of the complex. The model was then manually rebuilt to the best fit into the density using Coot (50) and refined using Phenix (51). Interface calculations were performed using PISA (52). Structures were analyzed and figures were generated using PyMOL (http://www.pymol.org) and UCSF Chimera (49). Final model statistics are summarized in Table S1.
+
+<|ref|>sub_title<|/ref|><|det|>[[70, 403, 484, 422]]<|/det|>
+## Mouse prophylactic and therapeutic studies
+
+<|ref|>text<|/ref|><|det|>[[67, 435, 881, 880]]<|/det|>
+The mouse prophylactic and therapeutic studies were approved by the Committee on the Use of Live Animals in Teaching and Research (CULATR) of the University of Hong Kong (Reference number: 4011- 16) and conducted in biosafety level 3 animal facilities as described previously (53). Female BALB/c mice of 6- 8 weeks of age were obtained from the Laboratory Animal Unit of The University of Hong Kong. For prophylactic study, one day before virus inoculation, each mouse was administered with \(100 \mu \mathrm{L}\) of mAb at \(1 \mathrm{mg / mL}\) intraperitoneally. For therapeutic study, infected mice were administered with \(100 \mu \mathrm{L}\) of mAb at \(1 \mathrm{mg / mL}\) intraperitoneally at day 1 post viral challenge. Mice in the control groups were administered with either PBS or with a non- H7N9 mAb. On the day of virus infection, each mouse was inoculated with \(10 \mathrm{LD}_{50}\) (40 \(\mu \mathrm{L}\)) of H7N9/AH1 virus through intranasal route. Virus inoculation was performed under ketamine (100 \(\mathrm{mg / kg}\) ) and xylazine (10 \(\mathrm{mg / kg}\) ) anesthesia. The mice were monitored for 14 days with disease severity score and body weight recorded daily. Disease severity were scored as follow: Score 0, apparently healthy; Score 1 (mild disease symptom), ruffled fur but still active; Score 2
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[66, 88, 866, 250]]<|/det|>
+(medium disease symptom), ruffled fur, reduced activity and no weight gain; Score 3 (severe disease symptoms), ruffled fur, hunched posture, labored breathing and weight loss; Score 4 (moribund): very inactive, showing difficulty moving around and accessing to food and water, and weight loss. The predefined humane endpoints were either a weight loss of \(\geq 20\%\) or a disease severity score of 4. Mice were euthanized if the humane endpoints were reached.
+
+<|ref|>sub_title<|/ref|><|det|>[[114, 299, 272, 317]]<|/det|>
+## Statistical analysis
+
+<|ref|>text<|/ref|><|det|>[[66, 332, 879, 528]]<|/det|>
+GraphPad Prism was used to plot the ELISA data using sigmoidal dose- response with variable slope for curve fitting and the neutralization data using 5- parameter nonlinear regression for curve fitting. All quantitative data are presented as mean \(\pm\) standard error (SEM). GraphPad Prism was also used to plot the mouse Survival curves. Unpaired student's t- test in GraphPad Prism was used for comparisons between groups, and a \(P\) value of less than 0.05 was considered statistically significant.
+
+<|ref|>sub_title<|/ref|><|det|>[[70, 586, 256, 603]]<|/det|>
+## 15 Data availability
+
+<|ref|>text<|/ref|><|det|>[[66, 625, 884, 821]]<|/det|>
+Sequences of the heavy and light chain variable regions of four H7N9 human mAbs are available in GenBank under accession # xxxxxxxx to xxxxxxxx. The Cryo- EM reconstruction of H7. HK1 and H7. HK2 Fabs in complex with H7 SH13 DS2 6R HA has been deposited in the Electron Microscopy Data Bank as EMD- 41422 and EMD- 41441 and the Protein Data Bank (PDB: 8TNL and 8TOA). Materials will be made available to researchers with appropriate materials transfer agreements (MTAs). All inquiries should be sent to the corresponding authors.
+
+<--- Page Split --->
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+
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+## Acknowledgments
+
+<|ref|>text<|/ref|><|det|>[[115, 130, 847, 201]]<|/det|>
+AcknowledgmentsWe thank the patient for donating blood for the study. We thank Reda Rawi and Jeffrey C. Boyington for design of H7 SH13 DS2 6R used for structural analysis. Cryo- EM data were collected at the Columbia University Cryo- Electron Microscopy Center. We thank Shuofeng Yuan and Vincent Poon for assistance with the animal experiments.
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 216, 190, 233]]<|/det|>
+## Funding
+
+<|ref|>text<|/ref|><|det|>[[143, 234, 872, 448]]<|/det|>
+Funding- U.S. Department of Defense contract No. W911NF- 14- C- 0001 (DDH and XW)- Health@InnoHK, Innovation and Technology Commission of Hong Kong (KY and KKT)- Donations from Richard Yu and Carol Yu, Shaw Foundation Hong Kong, Michael Seak- Kan Tong, The Hui Ming, Hui Hoy and Chow Sin Lan Charity Fund Limited, Chan Yin Chuen Memorial Charitable Foundation, Marina Man- Wai Lee, Jessie and George Ho Charitable Foundation, Kai Chong Tong, Tse Kam Ming Laurence, Foo Oi Foundation Limited, Betty Hing- Chu Lee, and Ping Cham So (KY and KKT)- Bill and Melinda Gates Foundation grants FNIH SHAP19IUFV (LS) and INV- 016167 (LS)- National Institutes of Health, National Institute of Allergy and Infectious Disease, Intramural Research Program of the Vaccine Research Center (PDK)
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 463, 296, 479]]<|/det|>
+## Author contributions
+
+<|ref|>text<|/ref|><|det|>[[114, 480, 723, 637]]<|/det|>
+Conceptualization: XW, DDH, KY Methodology: XW, KKT, LS Investigation: MJ, HZ, NCM, HL, YL, HD, JEB Visualization: XW, NCM Funding acquisition: DDH, XW, KY, KKT, LS, PDK Project administration: XW, KKT Supervision: XW, KKT, KY, PDK, LS Writing - original draft: XW, KKT, NCM Writing - review & editing: XW, KKT, MJ, HZ, NCM, KY, DDH, PDK, LS
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 652, 285, 668]]<|/det|>
+## Competing interests
+
+<|ref|>text<|/ref|><|det|>[[115, 669, 858, 721]]<|/det|>
+An U.S. provisional patent titled "Human Protective Neutralizing and Non- neutralizing Antibodies and Their Use against Influenza Viruses" was filed with filing No. 63/578,505 and XW, MJ, NCM, HL, DDH, KY, KKT, PDK, and LS as co- inventors.
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 736, 312, 752]]<|/det|>
+## Additional information
+
+<|ref|>text<|/ref|><|det|>[[115, 754, 330, 787]]<|/det|>
+Supplementary Figs. 1 to 4 Table S1
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[120, 95, 876, 732]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[113, 732, 875, 874]]<|/det|>
+Fig. 1 Isolation and characterization of human H7N9 mAbs in vitro. (A) FACS depicting the staining and selection of H7-specific B cells from donor H7N9.HK2013 PBMCs 1 year post recovery. SSC-A, side scatter area; FSC-A, forward scatter area. (B) ELISA binding curves of the indicated mAbs to soluble recombinant H7N9 HA and H7N7 HA (upper panels), with or without Endo H treatment, to the matching H7N9 HA1 from 2013 or HA1s from 2016 and 2017 (middle panels), and to 6 other non-H7 HA or HA1 proteins (lower panels). (C) Neutralization curves of H7.HK mAbs against H7N9 2013 (left) and 2016 (right) pseudoviruses infecting MDCK cells. Data shown are mean \(\pm\) SEM.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[120, 90, 875, 696]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[113, 702, 880, 892]]<|/det|>
+Fig. 2 Structural analysis of H7.HK1 and H7.HK2 in complex with H7 HA trimer. (A) Cryo-EM structures of H7.HK1 and H7.HK2 bound to H7 HA in the head region. (B) Top view of alignment of H7.HK1 and H7.HK2 complex structures. (C) Surface presentation of the H7.HK1 epitope (orange) on H7 HA1, with interacting CDRs shown. (D) H7.HK1 heavy chain forms seven hydrogen bonds and one salt bridge with H7 HA1. (E) H7.HK1 light chain forms one additional hydrogen bond with H7 HA1, and the interactions are stabilized by hydrophobic residues on the periphery of the light chain interface. (F) Modeling published structures of H7 HA1-binding antibodies (PDB: 6I14, 6I18, 6I19, 5V2A) onto the H7.HK1 bound structure, with an escape mutation R47K (green) reported for mAb 07-5F01. (G) Modeling the binding site of human receptor analogue LSTc (red) based on a previous crystal structure (PDB: 4BSE) onto H7 from the H7.HK1 complex, showing that H7.HK1 does not compete with sialic acid on the adjacent protomer (black). (H) Alignment of the H7.HK1 complex with a previous crystal structure of H7 (PDB: 4BSE) shows that the 220-loop (pink) required for sialic acid binding (G209-G219) is disorder in the complex structure and would clash with the H7.HK1 light chain if it were present. Green asterisk symbol denotes the \(< 2\) Å clash between the CDR L1 N33 and the predicted location of P212 on HA1.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[130, 100, 875, 748]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[113, 752, 875, 904]]<|/det|>
+Fig. 3 Prophylactic and therapeutic effects of human H7N9 mAbs in mice i.n. challenged with 10 LD50 of A/Anhui/1/2013 H7N9. (A) Mice were i.p. injected with 100 μg (equivalent of 5 mg/kg) or 20 μg (equivalent of 1 mg/kg) of the indicated mAbs (as human IgG1 unless otherwise specified) one day before viral challenge; % survival (less than 20% weight loss) and % body weight of survived mice were plotted over time. (B) Mice were i.p. injected with 100 μg of the indicated mAbs one day after viral challenge; % survival and % body weight of survived mice were plotted over time. Arrows indicate the time when mAbs were administered. Control groups of a non-H7 placebo mAb and PBS were included. Data for each group were combined from 1-2 experiments and shown as mean – SEM. Asterisk symbols denote statistical significance with \(P\) values \(< 0.05\) .
+
+<--- Page Split --->
+<|ref|>title<|/ref|><|det|>[[13, 83, 196, 97]]<|/det|>
+# Heavy Chain V-gene
+
+<|ref|>text<|/ref|><|det|>[[10, 99, 981, 220]]<|/det|>
+IGHV4- 59 QVQLQESGPGLVKPSETSLTSTCVSGGSIS SYYWSWIRQPGKGLEWIGYIYGSGTN YNPSLKSRVTVISVDTSKNQFSLKLSSVTAADTAVYYC H7. HK1 QVQLQESGPGLVKPSETSLTSCVSGGSIN SYYWSWIRQPGKGLEWIGYIYGSGTS YNPSLKSRTISVAPSKNHFSLLETSMTAADTAVYYCAR H7. HK2 QVQLQGSGPGLLRPSETSLTSCVSGVSIN SYYWSWIRQPGKGLEWIGYIYGSGTN YNPSLKSRVTVISVDTSKNQFSLKMTSVTAADTAVYYCAR H7. HK2 QVQLQGSGPGLLRPSETSLTSCVSGVSIN SYYWSWIRQPGKGLEWIGYIYGSGTN YNPSLKSRVTVISVDTSKNQFSLKMTSVTAADTAVYYCAR H7. HK3 QVQLVQGSGELKRPGASVKVSCRAGSYFTT SYTINWVRQAPGGLEWMGWINTSTGDPTYAQGFTRFVFSLDTVSVSTAYLQICSLKAEDTAVYYCAR H7. HK3 QVQLVQGSGELKRPGASVKVSCRAGSYFTT SYTINWVRQAPGGLEWMGWINTSTGDPTYAQGFTRFVFSLDTVSVSTAYLQICSLKAEDTAVYYCAR H7. HK4 QVQLQESGPGLVKPSETSLTCTVSGGSVSSASYWSWIRQPGKGLEWIGYIYGSGTN YNPSLKSRVTVISVDTAKNRSFLRLRSVTAADTAVYYCAR
+
+<|ref|>title<|/ref|><|det|>[[13, 230, 196, 245]]<|/det|>
+# Light Chain V-gene
+
+<|ref|>text<|/ref|><|det|>[[10, 246, 925, 360]]<|/det|>
+IGHV2- 28 DIVMTQSPLSLPVTPGEPASISCRSSQSLHSNGYNLYDLWYQLKPGQSPQLLIYLGSNRASGVPDRFSGSGSGDTFLTKLISRVEAEDGVVYYC H7. HK1 DIVMTQSPVSLPVTPGEPASISCRSSQSLHSNGYA LIDWYQLKPGQSPKLMILYGLNRAGVPDRFSGSGSGDTFLTKLISRVEAEDGVVYYC H7. HK2 DIVMTQSPLSLPVTPGEPASISCRSNQSLHSNGYA LIDWYQLKPGQSPKLMILYGLNRAGVPDRFSGSGSGDTFLTKLISRVEAEDGVVYYC H7. HK1- 5 DIQMTQSPSTLSASVGDRVTTITRCASQSI SSWLA WYQQKPGKAPKLLIYDASSLESGVPSRFSGSGSGETFTLTISSLQPDDFATYYC H7. HK3 DIQMTQSPSTLSASVGDRVTTITRCASQSI SSWLA WYQQKPGKAPKLLIYASSLESGVPSRFSGSGSGETFTLTISSLQPDDFATYYC H7. HK1- 16 DIQMTQSPSSLSASVGDRVTTITRCASQSI SNYLA WFQQKPGKAPKSLIYAASSLQGSGVPSRFSGSGSGETFTLTISSLQPDDFATYYC H7. HK4 DIQMTQSPSSLSASVGDRVTTITRCASQSI RNYLA WFQQKPGKAPKSLIYAASSLHTGVPSRFSGSGSGETFTLTISSLQPDDFATYYC
+
+<|ref|>title<|/ref|><|det|>[[13, 377, 58, 390]]<|/det|>
+# CDR3
+
+<|ref|>text<|/ref|><|det|>[[10, 392, 546, 465]]<|/det|>
+H7. HK1 LGGHGDYGSDY WGQGTLVTVSS H7. HK2 QGIFGDYGSDY WGPGTLVTVSS H7. HK3 AFGLTVVRGGIVGWQGTTVTVSS H7. HK4 ERYYYGSGDFDY WGQGTLVTVSS
+
+<|ref|>text<|/ref|><|det|>[[373, 392, 545, 465]]<|/det|>
+CDR L3 - - - - - - - - - - - - - - - - - - - - CDR L3 - - - - - - - - - - - - - - - - QMALQTPFTFGPGTFRVDIK MQGLQTPFTFGPGTFRVDIK MQGLQTPFTFGPGTFRVDLK QQYNYSQTFGQGTKVKIEK QHYNSPYPTFGQGTKLEIK
+
+<|ref|>text<|/ref|><|det|>[[42, 487, 954, 604]]<|/det|>
+Supplementary Fig. 1 H7. HK mAb sequences. Protein sequences of the heavy and light chain variable regions of the H7. HK mAbs are aligned to the putative germline V- genes at top, with amino acid substitutions in red, and in magenta for substitutions shared between the clonally related mAbs H7. HK1 and H7. HK2. Spaces are added to maintain alignment; framework regions (FR) and complementarity-determining regions (CDRs) are indicated based on the Chothia nomenclature. Highlighted in yellow are the mAb residues (paratopes of H7. HK1 and H7. HK2) contacting the H7 antigen. The putative N- linked glycosylation sites on the light chain CDR L1 of H7. HK1 and H7. HK2 and the heavy chain CDR H2 of H7. HK3 are underlined.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[0, 0, 999, 999]]<|/det|>
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[45, 33, 933, 184]]<|/det|>
+Supplementary Fig. 2 Cryo- EM details of H7. HK1 and H7. HK2 in complex with H7 SH13 DS2 6R HA trimer. (A) Representative micrograph of H7. HK1 (left) and H7. HK2 (right). (B) Representative 2D class averages of H7. HK1 and H7. HK2. (C) The gold- standard Fourier Shell Correlation (FSC) resulted in a resolution of \(3.62 \AA\) for the overall map of H7. HK1 and \(3.69 \AA\) for the overall map of H7. HK2. Non- uniform refinement with C3 symmetry was used for both reconstructions. (D) The orientations of all particles used in the final refinement are shown as a heatmap. (E) The local resolution of the final overall map is shown contoured at 0.0989 for both structures. Resolution estimation was generated through cryoSPARC using an FSC cutoff of 0.5. (F) Representative density is shown for the interface of H7. HK1 heavy chain, light chain, and H7 HA. (G) Representative density is shown for the interface of H7. HK2 heavy chain, light chain, and H7 HA.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[30, 45, 410, 399]]<|/det|>
+
+<|ref|>image<|/ref|><|det|>[[30, 400, 515, 600]]<|/det|>
+
+<|ref|>text<|/ref|><|det|>[[33, 630, 940, 732]]<|/det|>
+Supplementary Fig. 3 Comparison of H7.HK1 and H7.HK2 binding to H7. (A) Differences in epitopes of H7.HK1 and H7.HK2. Majority of surface contacts are conserved, shown in orange. H7.HK1 specific surfaces are shown in magenta, and H7.HK2 specific surfaces are shown in cyan. (B) Hydrogen bonds and salt bridges formed by H7.HK1 and H7.HK2 with H7. (C) Differences in CDR L2 binding to H7 by H7.HK1 and H7.HK2 as a result of F61S substitution in H7.HK2. S61 forms an additional hydrogen bond with G119 of H7. Additionally, position of Y54 is shifted so that it forms a hydrogen bond with T156 for H7.HK2 instead of Q154 for H7.HK1.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[0, 0, 999, 999]]<|/det|>
+
+<--- Page Split --->
+<|ref|>table<|/ref|><|det|>[[256, 139, 740, 590]]<|/det|>
+<|ref|>table_caption<|/ref|><|det|>[[165, 90, 830, 125]]<|/det|>
+Supplementary Table 1 Cryo-EM data collection, refinement, and validation statistics for H7 SH13 DS2 6R HA in complex with H7.HK1 and H7.HK2 Fabs.
+
+ | H7 SH13 DS2 6R H7.HK1 (EMD-41422) (PDB: 8TNL) | H7 SH13 DS2 6R H7.HK2 (EMD-41441) (PDB: 8TOA) |
| Data collection and processing | | |
| Magnification | 105000 | 105000 |
| Voltage (kV) | 300 | 300 |
| Electron exposure (e-/Ų) | 58 | 58 |
| Defocus range (μm) | 0.8-2 | 0.8-2 |
| Pixel size (Å) | 0.83 | 0.83 |
| Symmetry imposed | C3 | C3 |
| Initial particle images (no.) | 5713957 | 2339643 |
| Final particle images (no.) | 178347 | 191469 |
| Map resolution (Å) | 3.62 | 3.69 |
| FSC threshold | 0.143 | 0.143 |
| Refinement | | |
| Initial model used (PDB code) | 6IDD | 8TNL |
| Model resolution (Å) | 3.62 | 3.69 |
| FSC threshold | 0.143 | 0.143 |
| Model composition | | |
| Non-hydrogen atoms | 16487 | 15570 |
| Protein residues | 2112 | 2109 |
| Ligands | 7 | 11 |
| B factors (Ų) | | |
| Protein | 39.71 | 58.34 |
| Ligand | 58.78 | 48.38 |
| R.m.s. deviations | | |
| Bond lengths (Å) | 0.005 | 0.007 |
| Bond angles (°) | 1.121 | 1.231 |
| Validation | | |
| MolProbity score | 1.65 | 2.23 |
| Clashscore | 5.45 | 12.08 |
| Poor rotamers (%) | 0.06 | 1.62 |
| Ramachandran plot | | |
| Favored (%) | 94.86 | 92.30 |
| Allowed (%) | 5.14 | 7.41 |
| Disallowed (%) | 0.0 | 0.29 |
+
+<--- Page Split --->
diff --git a/preprint/preprint__02f5f0062184ad10aa0c00a66e174b8fdaab83aacddedff0b58a36c9878f2849/images_list.json b/preprint/preprint__02f5f0062184ad10aa0c00a66e174b8fdaab83aacddedff0b58a36c9878f2849/images_list.json
new file mode 100644
index 0000000000000000000000000000000000000000..db67662da547584ff9a70713630e8499bb63174e
--- /dev/null
+++ b/preprint/preprint__02f5f0062184ad10aa0c00a66e174b8fdaab83aacddedff0b58a36c9878f2849/images_list.json
@@ -0,0 +1,70 @@
+[
+ {
+ "type": "image",
+ "img_path": "images/Figure_1.jpg",
+ "caption": "Fig. 1: Deep learning driven adaptive optics for single molecule localization microscopy. Upon the acquisition of camera frames, detected single molecule emission patterns from stochastic lateral and axial positions are isolated and sent to a trained deep neural network. The network outputs a vector of mirror deformation-mode amplitudes, for each biplane detection of single molecule. The estimations pre-/post- each compensation are then combined through Kalman filter to drive the next deformable mirror update. ‘p’ and ‘q’ represent numbers of feature maps input and output to a residue block (the orange box). ‘N’ represents the image width/height. ‘s’ is stride size in a convolutional layer.",
+ "footnote": [],
+ "bbox": [
+ [
+ 123,
+ 90,
+ 875,
+ 344
+ ]
+ ],
+ "page_idx": 14
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_2.jpg",
+ "caption": "Fig. 2: Performance characterization of DL-AO. (A) Measurement and feedback flow for deformable mirror updates driven by deep neural network. Sub-regions are enlarged to show examples of PSF shapes from blinking molecules. (B) An example of PSFs, pupil phases and mirror mode coefficients before and after DL-AO, when compensating artificially induced",
+ "footnote": [],
+ "bbox": [
+ [
+ 115,
+ 88,
+ 875,
+ 799
+ ]
+ ],
+ "page_idx": 15
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_3.jpg",
+ "caption": "Fig. 3: Demonstrations of DL-AO correcting index mismatch induced aberration by imaging Tom20 proteins in COS-7 cells through 134 μm water-based imaging media (A)",
+ "footnote": [],
+ "bbox": [
+ [
+ 123,
+ 88,
+ 875,
+ 787
+ ]
+ ],
+ "page_idx": 17
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_4.jpg",
+ "caption": "Fig. 4: Demonstrations of DL-AO correcting sample induced aberrations by imaging Tom20 proteins in COS-7 cells through \\(110\\mu m\\) unlabeled mouse brain section. (A) 3D SMLM reconstruction of Tom20 proteins imaged through unlabeled tissue without AO, reconstructed with in vitro PSF models: theoretical index mismatch model (PR, upper triangle) and in situ PSF models (INSPR, lower triangle). (B) Tom20 imaged through unlabeled tissue with DL-AO, reconstructed with in vitro PSF model (PR, upper triangle) and in situ PSF models",
+ "footnote": [],
+ "bbox": [
+ [
+ 125,
+ 92,
+ 867,
+ 744
+ ]
+ ],
+ "page_idx": 19
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_6.jpg",
+ "caption": "Fig. 6: 3D SMLM reconstruction dendrites and spines in immune-fluorescence-labeled Thy1-ChR2-EYFP in 150-250 \\(\\mu \\mathrm{m}\\) brain sections of 7-week-old mice. (A) Super-resolution reconstruction of Thy1-ChR2-EYFP using SMLM with DL-AO through a 250-μm-cut brain section. (B, C) Super-resolution reconstructions of Thy1-ChR2-EYFP using SMLM with DL-AO through 150-μm-cut brain sections. (D) Axial cross-sections identified spines in A, B, C. (E) Identified spines in A-C, and the corresponding size measurements of their necks and heads. 'Norm. I.' stands for normalized intensity, where intensity in reconstructed image reflects counts of localized single molecules. 'dist.' stands for distance. The histograms show the raw intensity counts along the lines indicated by white arrows in E. Sizes are measured at the full widths at",
+ "footnote": [],
+ "bbox": [],
+ "page_idx": 21
+ }
+]
\ No newline at end of file
diff --git a/preprint/preprint__02f5f0062184ad10aa0c00a66e174b8fdaab83aacddedff0b58a36c9878f2849/preprint__02f5f0062184ad10aa0c00a66e174b8fdaab83aacddedff0b58a36c9878f2849.mmd b/preprint/preprint__02f5f0062184ad10aa0c00a66e174b8fdaab83aacddedff0b58a36c9878f2849/preprint__02f5f0062184ad10aa0c00a66e174b8fdaab83aacddedff0b58a36c9878f2849.mmd
new file mode 100644
index 0000000000000000000000000000000000000000..536c00957bb501b63687fc5b1f4e64ebb1b8da66
--- /dev/null
+++ b/preprint/preprint__02f5f0062184ad10aa0c00a66e174b8fdaab83aacddedff0b58a36c9878f2849/preprint__02f5f0062184ad10aa0c00a66e174b8fdaab83aacddedff0b58a36c9878f2849.mmd
@@ -0,0 +1,410 @@
+
+# Deep Learning Driven Adaptive Optics for Single Molecule Localization Microscopy
+
+Fang Huang ( \(\boxed{\bullet}\) fanghuang@purdue.edu) Purdue University West Lafayette https://orcid.org/0000- 0003- 1301- 1799
+
+Peiyi Zhang Purdue University https://orcid.org/0000- 0002- 1100- 3720
+
+Donghan Ma Purdue University https://orcid.org/0000- 0001- 6264- 2824
+
+Xi Cheng Purdue University
+
+Andy Tsai Indiana University
+
+Yu Tang Purdue University
+
+Hao-Cheng Gao Purdue University
+
+Li Fang Purdue University
+
+Cheng Bi Purdue University West Lafayette
+
+Gary Landreth Indiana University School of Medicine https://orcid.org/0000- 0002- 8808- 424X
+
+Alexander Chubykin Purdue University West Lafayette https://orcid.org/0000- 0001- 8224- 9296
+
+Brief Communication
+
+Keywords:
+
+Posted Date: June 2nd, 2022
+
+DOI: https://doi.org/10.21203/rs.3.rs- 1690151/v1
+
+License: © This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+<--- Page Split --->
+
+# 1. 1. 1. 1. 1. 1. 1. 2. 2. 2. 2. 2. 2. 2.
+
+<--- Page Split --->
+
+# Deep Learning Driven Adaptive Optics for Single Molecule Localization Microscopy
+
+Peiyi Zhang \(^{1}\) , Donghan Ma \(^{1,2}\) , Xi Cheng \(^{3,4}\) , Andy P. Tsai \(^{5}\) , Yu Tang \(^{3,4}\) , Hao- Cheng Gao \(^{1}\) , Li
+
+Fang \(^{1}\) , Cheng Bi \(^{1}\) , Gary E. Landreth \(^{5,6,*}\) , Alexander A. Chubykin \(^{3,4,*}\) and Fang Huang \(^{1,4,7,*}\)
+
+\(^{1}\) Weldon School of Biomedical Engineering, Purdue University, West Lafayette, IN, USA
+
+\(^{2}\) Davidson School of Chemical Engineering, Purdue University, West Lafayette, IN, USA
+
+\(^{3}\) Department of Biological Sciences, Purdue University, West Lafayette, IN, USA
+
+\(^{4}\) Purdue Institute for Integrative Neuroscience, Purdue University, West Lafayette, IN, USA
+
+\(^{5}\) Stark Neurosciences Research Institute, Indiana University School of Medicine, Indianapolis, IN, USA.
+
+\(^{6}\) Department of Anatomy, Cell Biology and Physiology, Indiana University School of Medicine, Indianapolis, IN, USA
+
+\(^{7}\) Purdue Institute of Inflammation, Immunology and Infectious Disease, Purdue University, West Lafayette, IN, USA
+
+\(^{*}\) Correspondence to: fanghuang@purdue.edu, chubykin@purdue.edu, glandret@iu.edu
+
+## INTRODUCTION
+
+Fluorescent microscopy is an indispensable tool in visualizing cellular and tissue machinery with molecular specificity, however, its resolution is limited to 250- 700 nm laterally and axially due to the diffraction of light \(^{1}\) . Molecular features smaller than this limit cannot be resolved. Super- resolution microscopies such as Stimulated Emission Depletion Microscopy (STED) \(^{2}\) , Structured Illumination Microscopy (SIM) \(^{3}\) , and Single Molecule Localization Microscopy (SMLM) \(^{4 - 6}\) have overcome this barrier, allowing biological observations well beyond this fundamental limit of light. In particular, SMLM detects isolated photo- switchable or convertible fluorescent dyes or proteins, pinpoints the centers of individual probes from their emission patterns, and reconstructs the molecular centers into a super- resolution image. Localization precision as low as 1- 10 nm can be achieved in fixed and living cells \(^{7 - 11}\) .
+
+<--- Page Split --->
+
+SMLM in tissues, however, is challenging. One major reason is the distortion and blurring of single molecule emission patterns (i.e. PSFs) caused by the inhomogeneous refractive indices within the tissue. Such alteration often reduces the information content \(^{12}\) carried by each detected photon, increases localization uncertainty, and thus causes significant resolution loss, which is irreversible by post- processing \(^{13}\) . Reversing these sample induced aberrations requires optical path modifications in a microscopy system, commonly with a deformable mirror or a spatial light modulator, responsive towards each specimen and field- of- view to adaptively restore the PSFs of single emitters, and thus the achievable resolution. This process is known as adaptive optics (AO) \(^{14 - 18}\) .
+
+Guiding a deformable mirror to compensate sample induced aberrations, the distorted wavefront needs to be measured \(^{16,17}\) . For point- scanning microscopes, such as confocal and two- photon, the detection focus serves as a 'guide star' providing a stable wavefront measurable both directly and indirectly \(^{14,15,17,18}\) . In contrast, wavefronts of single molecule emissions, in spite of their abundance in SMLM experiments, cannot be directly measured as the signals from individual molecules blink stochastically with limited photons \(^{19}\) . Besides, wavefronts passing through the system are composed of not only the aberrated wavefront induced by the specimen, but also the wavefront variations induced by lateral and axial positions from a collection of emitters in a volume. For this reason, current sensorless AO- SMLM developments \(^{20 - 24}\) focus on iteratively introducing mirror changes then evaluating the changes with image- quality metrics. Despite that these iterative methods require a large number of cycles, each including image acquisition and mirror changes, to reach the optimal correction, these approaches provide robust corrections for tissue induced aberrations only when the target tissue structures are planar or with small axial extent (Supplementary Fig. 1). This is because emission patterns from single molecules at different axial positions results in inconsistent, and, in some cases,
+
+<--- Page Split --->
+
+even opposite metric responses and thus fundamentally limit the efficacy of these approaches for aberration correction in tissues (Supplementary Note 1).
+
+Bypassing the previous iterative trial- then- evaluate processes, we developed deep learning driven adaptive optics for SMLM to allow direct inference of wavefront distortion and near real- time compensation. Our trained deep neural network (DNN) monitors the individual emission patterns from single molecule experiments, infers their shared wavefront distortion, feeds the estimates through a dynamic filter (Kalman), and drives a deformable mirror to compensate sample induced aberrations. The method, referred to as deep learning driven adaptive optics (DL- AO) for single molecule imaging, simultaneously estimates and compensates 28 types of wavefront deformation shapes, restores single molecule emission patterns approaching the conditions untouched by specimen, and improves the resolution and fidelity of 3D SMLM through thick tissue specimens over 130 μm, with as few as 3- 20 mirror changes.
+
+## RESULTS
+
+## 1. Design of DL-AO
+
+Single molecule emission patterns generated by individual fluorescence molecules carry information not only about their molecular center positions, but also about the shared wavefront distortion25. The random lateral and axial positions of the blinking fluorescent molecules and their limited photons emitted in SMLM experiments, make these emission patterns unsuitable for direct wavefront measurement14,15. Single molecule deep neural network (smNet)26 was demonstrated in its capacity to infer wavefront distortions from individual PSFs in simulation and its responsiveness in experimental datasets. Moving from the inference task to active control of a deformable mirror driven by deep learning is, however, nontrivial. Here, we describe our developments in experimental wavefront based training, stacked estimation networks, and stabilized feedback controls through Kalman filter (Fig. 1).
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+Upon detection of SMLM frames, single molecule- containing sub- regions are segmented and sent to the network (Supplementary Note 2.2). Each input sub- region goes through a sequence of template matching processes, which are organized as convolutional layers \(^{27,28}\) and residual blocks \(^{29}\) with PReLU activations \(^{30}\) and batch normalizations \(^{31}\) in between, then "fully connects" through \(1 \times 1\) convolutional layers to an output vector of 28 values — amplitude estimates for wavefront shapes in terms of the native mirror deformation modes \(^{32}\) (hereafter referred to as mirror modes). Representing wavefront with coefficients of orthogonal basis helps cut down on the number of outputs and network parameters to be optimized in training. Forming this orthogonal basis directly from native mirror deformations further ensured the coefficients' accuracy in representing mirror responses. With this consideration, the conversion from mirror modes to Zernike polynomials \(^{33}\) — commonly used as the analytical basis to describe aberrations—is dropped to minimize mismatches between mirror responses and Zernike- based wavefront shapes (Supplementary Note 3). The residual differences between theoretical expectations and experimental mirror deformations (Supplementary Fig. 4) are incorporated into training data generation.
+
+To build an accurate link between experimentally detected emission patterns and the mirror control with neural networks, it is imperative to train the network with data that match those obtained experimentally. However, experimental training data of single molecules are challenging to obtain, since the ground- truth wavefronts are usually unknown and the extensive variations of the intensity, background, and the lateral and axial locations of single emitters, are impractical to cover experimentally. To this end, we simulate wavefront distortions by linearly combining the mirror deformations obtained experimentally in the SMLM system (Supplementary Note 4). We then use the coefficients of these experimental patterns to form the output of the network. The static residue of system aberration after optimizing the microscope system is also incorporated as the baseline of the wavefront shapes. This allows us
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+to efficiently generate millions of training PSFs based on experimentally measured wavefronts with highly accurate training ground truth (Supplementary Note 4, Supplementary Fig. 2, 3D normalized cross correlation (NCC) value of \(>0.95\) , comparing measured PSFs with those generated from network estimation).
+
+Compensating wavefront distortions inferred from PSFs of blinking molecules, we found that the network proposed mirror change fluctuates with non- vanishing uncertainty before/after each mirror update. This uncertainty increases with the network training range, resulting in a trade- off between the compensation range and stability (Fig. S51). To this end, we drive the deformable mirror by dynamically switching three networks trained with different aberration scales where the transitions between networks are based on the inference uncertainty (Supplementary Note 2.5). To stabilize network transitions, we employ Kalman filter34 (Supplementary Note 2.4 and 5) to reduce the estimation uncertainty by recursively combining wavefront measurements before and after each correction. Due to the uncontrollable availability of single molecule emission patterns with a high signal- to- background ratio and the evolving PSFs after each correction, this process weighs heavily on high precision measurements against the uncertain ones to ensure stable feedback from the network (Supplementary Figs. 5, 6).
+
+## 2. DL-AO characterization
+
+First, we characterized the response accuracy of DL- AO network using controlled wavefront distortions generated by the deformable mirror. These wavefront distortions resulted in aberrated emission patterns, which were then collected and sent to DL- AO network (Methods). By comparing the induced deformation amplitudes with those estimated by DL- AO, we observed that DL- AO network responded towards individual mirror deformations mostly in a one- to- one manner. And this behavior was consistently observed with both beads samples and blinking single molecules from immune- fluorescence- labeled cell specimens (Supplementary Figs. 4, 5, Fig. S52). At the same time, we also observed that DL- AO sensed changes in other mirror
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+modes besides the one actually being changed, an expected behavior considering that mirror modes are coupled experimentally (Supplementary Note 3). Due to such coupling, mapping between the wavefront shape and mirror mode amplitudes is no longer unique, and therefore we further quantified the network response accuracy through wavefront shape errors and PSF similarities. We observed that independent measurements from DL- AO and phase retrieval \(^{13,35}\) using PSFs of fluorescent beads resulted in nearly identical wavefront shapes with a small difference of \(0.13 \pm 0.02\) rad (mean ± s.t.d, N=28) quantified in root mean square wavefront error \(^{33}\) (Wrms, Methods, Supplementary Fig. 4). Further, comparing the wavefronts estimated by DL- AO network using single molecule blinking data (100 PSFs) to that retrieved by phase retrieval from beads, we observed high similarities of \(0.83 \pm 0.06\) (mean ± s.t.d, N=28, normalized cross correlation), and a small wavefront difference of \(0.15 \pm 0.03\) rad (mean ± s.t.d, N=28) in Wrms (Supplementary Fig. 5). For the majority of our introduced distortions below 3 radians in Wrms, a single mirror update can already reduce the wavefront error by 50% (Fig. 2E, 2F, Supplementary Fig. 10). Caused by the nonlinear mirror deformation response to control input \(^{36}\), and the decreased network response amplitudes with the decreasing signal to noise level or the increasing network training range (Supplementary Figs. 5 and Fig. SS2), we observed that it usually requires 3- 20 mirror updates for full compensation.
+
+DL- AO aims to restore PSFs to the level unmodified by the specimen. To characterize DL- AO's capacity for PSF restoration, we introduced random wavefront distortions using the deformable mirror and compensated these distortions with DL- AO during SMLM experiments with immune- fluorescence- labeled TOM20 in COS- 7 cells. Visualizing the raw blinking data during the correction, we found the PSFs became less distorted even after a single compensation, and the mirror shape became stable after \(\sim 4\) mirror updates (Fig. 2A). Since PSFs from blinking molecules have limited photons and stochastic positions, making them challenging to quantify, we further verified the PSF shape post correction by axially scanning fluorescent beads nearby
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+the compensation areas. Through phase retrieval, we found DL- AO results share a highly similar and flat wavefront shape with the instrument optimum (Methods, Supplementary Note 4), with a residual of \(0.29 \pm 0.12\) rad in \(\mathrm{W}_{\mathrm{rms}}\) (mean \(\pm\) s.t.d, N=11, Fig. 2B). Comparing the PSFs post DL- AO and the instrument optimum, high similarities of \(0.95 \pm 0.02\) (mean \(\pm\) s.t.d, N=11) were consistently achieved, quantified by 3D normalized cross correlation (Fig. 2B,
+
+Supplementary Fig. 8), and remained \(0.96 \pm 0.01\) (mean \(\pm\) s.t.d, N=11 in NCC) for distortion levels from 0.25 to 2.75 radians in \(\mathrm{W}_{\mathrm{rms}}\) (Supplementary Fig. 7). Often, this level of restoration was achieved with only 3- 6 mirror updates (Supplementary Fig. 8B), and a single mirror update from DL- AO network reduced the wavefront error by \(61.2\% \pm 24.2\%\) (mean \(\pm\) s.t.d, N=11). To drive each mirror update, as few as two sub- regions containing isolated single emitters were used for DL- AO network estimation, which spent an average of 0.1 second for forward propagation (Supplementary Table 3, Supplementary Fig. 8) and made DL- AO suitable for real- time compensation during SMLM acquisition.
+
+Next, we evaluated the robustness of DL- AO on compensating different levels of wavefront distortion, from 0.25 to 2.75 radians in \(\mathrm{W}_{\mathrm{rms}}\) , by assessing the residual wavefront error post correction using both simulation and single molecule blinking data. After one mirror update, we observed that \(51.9 \pm 9.3\%\) and \(64.3 \pm 12.8\%\) (mean \(\pm\) s.t.d, N = 165) of the induced level was compensated for experimental and simulated data, respectively (Fig. 2E- F). After 19 mirror updates, the residual level was \(0.32 \pm 0.02\) and \(0.08 \pm 0.03\) (mean \(\pm\) s.t.d, N=165) radians respectively for experimental and simulated data (Supplementary Fig. 10). This is a significant improvement, as compared to existing metric- based methods \(^{20 - 24}\) , for example, Robust and Effective Adaptive Optics in Localization Microscopy (REALM) \(^{24}\) , which works up to 1 radian at the expense of 10 mirror updates per aberration mode, requiring a total of 330 updates to compensate 11 aberration types (3 rounds) \(^{24}\) . In addition, metric- based AO is unstable when imaging volumetric cellular structures (Figs 2C, 2D, 2G, Supplementary Figs. 1, 11 and 12). A
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+detailed discussion and quantification of these intrinsic limitations of metric- based methods can be found in Supplementary Note 1.
+
+## 3. DL-AO validation through constructed tissue and cell specimens.
+
+Inhomogeneous refractive indices within cells and tissues redirect and scatter light. In particular, the mismatches between refractive indices in sample media and objective immersion media reduce the shape modulation of the single molecule emission patterns axially and broaden the focus laterally (Fig. 2D), increasing the localization uncertainty in all directions and thus worsening the resolution of SMLM. Such resolution deterioration becomes more drastic with an increasing imaging depth13.
+
+Here, we demonstrate DL- AO's capacity in compensating significant index mismatch induced aberrations using constructed specimens from \(\sim 35 \mu \mathrm{m}\) to \(134 \mu \mathrm{m}\) in thickness with water- based imaging media. Imaging immune- fluorescence- labeled Tom20 in COS- 7 cells through such thickness without AO correction, the super resolution images of Tom20 proteins showed nearly no axial distributions (visualized by color differences, Fig. 3A, Supplementary Figs. 13A, 14A), a consequence of the severe lack of shape modulation along the axial direction due to the large imaging depth. While the raw data for both cases in the comparison were acquired in an interleaved manner without and with AO (Methods), DL- AO reconstruction showed the expected outer membrane contours of mitochondria, and without AO the reconstruction displayed significant artifacts (Fig. 3B, 3C). Zooming in on the lateral dimension, we observed the aggregations of Tom20 proteins, known to form clusters37, when aberrations were corrected by DL- AO. In comparison, without DL- AO, the lateral reconstruction of Tom20 distribution is diffusive (Fig. 3D, 3G), as a result of deteriorated lateral resolution through the large imaging depth. This resolution contrasts without and with DL- AO are consistently observed with different samples (Fig. 3E- G, Supplementary Figs. 13- 14).
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+Next, we illustrate the mechanism behind such resolution improvement (Fig. 3H-K) by looking at the PSFs and pupil function, which summarizes how the sample together with optical system modulates the collected light, before and after AO. In comparison to the near uniform distribution of magnitude and phase in the pupil obtained from an in vitro bead, wavefront (phase in the retrieved pupil) showed significant radial variations and increased phase wrappings at large radial positions (Fig. 3H, Supplementary Figs. 13D, 14D). As a result, the PSFs at different axial positions throughout a 2 \(\mu \mathrm{m}\) axial range remained nearly invariant (Fig. 3J). Such loss of PSF shape modulation results in localization artifacts where identical axial positions are falsely assigned to molecules despite their axial distributions. In contrast, DL- AO restored the flatness of the wavefront, resulting in PSFs that are highly similar to the instrument optimum (Fig. 3H, 3J, Supplementary Figs. 13D, 14D). These improvements in PSF sharpness and modulation explain the resolution improvement post DL- AO (Fig. 3C, 3D, 3F, 3G, Supplementary Figs. 13C, 14C) and are further quantified statistically showing significantly increased Fisher information content per photon upon DL- AO correction (Fig. 3K).
+
+We further demonstrated DL- AO on arbitrary tissue- induced aberrations by imaging through 200- \(\mu \mathrm{m}\) thick unlabeled brain sections resolving membrane of mitochondria using immune- fluorescence- labeled Tom20 in COS- 7 cells (Fig. 4). Without DL- AO, our observation is consistent with those through water based cavities where the information of Tom20's axial distribution is lost even with in situ PSF model (Fig. 4A). Further deterioration is observed both laterally and axially (Fig. 4A, 4F) using in vitro PSF model with theoretical index mismatch aberration incorporated. With DL- AO, the 3D reconstruction shows improved resolution, where such improvement can be visualized laterally by the distinct Tom20 protein clusters and axially by the mitochondria membrane contours (Fig. 4B- E).
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+## 4. Resolving Amyloid-β (Aβ) fibrils through 125 μm mouse brain sections
+
+The 3D structures of amyloid- β (Aβ) fibrils are a focus of interest in the studies of Alzheimer's disease (AD) and are of particular importance with the success of amyloid- directed therapeutics38,39. Visualizing the formation and aggregation of these fibrils within the brain has been limited by the significant resolution loss when imaging through tissues. With DL- AO adaptively optimizing single molecule emission patterns during SMLM imaging, we can now clearly resolve the organization of immune- fluorescence- labeled β- amyloid fibrils in 125 μm thick brain sections from 5XFAD mice, a transgenic AD model that exhibits robust amyloid plaque pathology similar to that found in the human AD brain40 (Fig. 5). We imaged Aβ fibrils through these thick brain tissues without and with DL- AO in an interleaved manner. We observed improved resolution in both axial and lateral directions with DL- AO in comparison with that of no- AO (Fig. 5B). Importantly, driven by DL- AO, SMLM reconstruction revealed the 3D organization of individual amyloid fibrils entangling and forming the plaque. However, while without DL- AO, the resolution deteriorates, making the intricate fibril ultrastructure look like blurry clusters (Fig. 5B, 5C). In addition, inspection of the axially color- coded lateral images and axial cross- section revealed that the fibril structures in the axial direction were distorted and flattened without DL- AO. A similar phenomenon was observed in the presence of spherical aberrations in the previous evaluation of mitochondria membranes (Figs. 3, 4, 5B, 5C). Interestingly, with DL- AO, our reconstructed super- resolution images using in vitro or in situ PSF models revealed highly similar results, suggesting that DL- AO has restored the aberrated emission patterns approaching the instrument optimum. Combining DL- AO with INSPR, we imaged fibril structures in different plaque areas (Fig. 5D- I), and were able to consistently resolve individual fibrils and revealed their 3D arrangements within plaques at various stages (Fig. 5F- I). Measuring the width of Aβ fibrils in tissues, we obtained an averaged width of about \(52 \pm 9 \text{nm}\) (mean ± s.t.d, N = 30) and \(72 \pm 19 \text{nm}\) (mean ± s.t.d, N = 30) in lateral and axial
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+cross- sections, respectively (Fig. 5J). We note that these measured fibril widths have slight variations among different imaged plaques.
+
+## 5. Resolving dendritic spines through 150-250 μm mouse brain sections
+
+Using deep learning driven adaptive optics to correct sample induced aberrations, and in situ PSF model to perform super resolution reconstruction post- AO correction, we performed SMLM imaging through 150- 250 μm thick brain tissues resolving dendritic spines, the 300- 800 nm tiny protrusions from the dendrites whose morphology changes in response to neuronal activities associated with learning and memory41,42. Insufficient spatial resolution leads to an erroneous classification of spines43,44 due to their miniature sizes. The capacity to resolve spines' ultrastructure within their tissue environment is critical in detecting morphological changes in the same area of the functional measurements. This technological advancement will allow electrophysiological and morphological mapping of the same neural circuits linking functional and structural synaptic plasticity with animal behavior45. We imaged Thy1- ChR2- EYFP transgenic mice, expressing Channelrhodopsin- 2 enhanced yellow fluorescent protein (EYFP) fusion protein in cortical L5 Thy1+ pyramidal cells46. Through a 250- μm- thick brain section, we resolved the distinct membrane distribution of the fluorescently tagged target decorating the dendritic spines (Fig. 6, Supplementary Fig. 15). Throughout the resolved volume of spines, we can observe the membrane- bounded structures as hollow tubes and blobs (Fig. 6D). Besides, the very thin neck of spines can be clearly visualized (Fig. 6E, Supplementary Fig. 15), which provides more accurate information about the dimension of spines. We also imaged 150- μm- thick mouse brain sections (Fig. 6B, 6C), where thinner sections provide a better signal to background ratio. Interestingly, we observed a few occurrences where dendrite membranes labeled ChR2- EYFP appeared to be twisted in the final reconstructed images (Fig. 6C), which may represent a type of physical substrate for decreasing gain for synaptic inputs47,48. We obtained an average localization precision of 13 nm and 57 nm in lateral and axial dimensions
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+when imaging through the 250- μm- thick brain section, and 11- 52 nm (lateral- axial) precision when imaging through the 150- μm- thick brain section. The capacity to resolve and accurately quantify the shape and size of dendritic spines throughout large tissue thickness paves the way to link spine morphology and function and will facilitate studies of learning, memory, and brain disorders.
+
+## DISCUSSION
+
+Combining the power of single molecule deep neural network with careful designs in network training, feedback, and instrument control, we demonstrated that DL- AO optimizes PSFs approaching the instrument optimum during SMLM experiments, and restores the resolution of 3D SMLM through \(>130 \mu \mathrm{m}\) depth of tissue. However, DL- AO requires at least two isolated and detectable PSFs to start compensation, and this requirement might be challenging to meet when the aberration level or imaging depth is significantly higher than the demonstrated cases where single molecule emissions are no longer identifiable. We also expect that further development in designing training data and neural network architecture will improve inference accuracy of DL- AO in an increasing compensation range, ultimately enabling single shot compensation during SMLM imaging. Additionally, the demonstrated DL- AO applications are limited by the working distance of the silicone- oil objective, and thus the imaging depth could potentially be extended when combined with long working distance objectives. To further improve the achievable resolution and imaging fidelity, we expect that DL- AO can be combined with light- sheet illumination49,50 for an increased signal to background ratio of single molecule detections, tissue clearing51 for labeling penetration and reduced aberration level, and expansion methods52 for further improved spatial resolution, thereby opening doors to observe nanoscale conformation in tissues and small animals.
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+Fig. 1: Deep learning driven adaptive optics for single molecule localization microscopy. Upon the acquisition of camera frames, detected single molecule emission patterns from stochastic lateral and axial positions are isolated and sent to a trained deep neural network. The network outputs a vector of mirror deformation-mode amplitudes, for each biplane detection of single molecule. The estimations pre-/post- each compensation are then combined through Kalman filter to drive the next deformable mirror update. ‘p’ and ‘q’ represent numbers of feature maps input and output to a residue block (the orange box). ‘N’ represents the image width/height. ‘s’ is stride size in a convolutional layer.
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+Fig. 2: Performance characterization of DL-AO. (A) Measurement and feedback flow for deformable mirror updates driven by deep neural network. Sub-regions are enlarged to show examples of PSF shapes from blinking molecules. (B) An example of PSFs, pupil phases and mirror mode coefficients before and after DL-AO, when compensating artificially induced
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+aberrations. Compensations are performed in real time during SMLM experiments. PSFs are measured from 100- nm- diameter crimson beads nearby the compensation area post SMLM acquisition. (C) Comparison between DL- AO and metric- based AO on compensating sample induced distortion at bottom coverslip surface including PSF shapes and raw single molecule blinking frames. (D) Comparison between DL- AO and metric- based AO on compensating sample induced distortion at 134 μm from bottom coverslip surface in water- based media (n = 1.35) including PSF shapes and raw single molecule blinking frames. (E) Summary of repeated tests of DL- AO for compensating aberrations of different levels (in \(W_{rms}\) ) based on simulated SMLM blinking data. Each simulated SMLM frames contain 128×128 pixels, with pixel size of 119 nm. Number of PSFs per frame were generated from Poisson distribution with a mean of 13. Axial positions of molecules were generated from uniform distribution from - 1 to 1 μm range. The number of photon counts in each PSF was generated from exponential distribution with mean equal to 2500. The background photon counts in each frame was set to be 10. (F) Summary of repeated tests of DL- AO for compensating aberrations in different levels (in \(W_{rms}\) ) based on experimental blinking frames from immune- fluorescence- labeled Tom20 specimen. (G) Quantitative comparisons between PSFs measured under instrument optimum and those measured after DL- AO and metric- based AO using 3D normalized cross correlation (NCC). IMM stands for index mismatched specimens at 134 μm with refractive indices of sample media and immersion oil being 1.35 and 1.406 respectively measured by Abbe refractometer (334610, Thermo Scientific). The labels for x axis with ‘i- j’ format denote jth repeated tests for compensation at area i. PSFs in B- D and G are measured from 100- nm- diameter crimson beads nearby compensation areas. Scale bars in B- D and G are 3 μm.
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+Fig. 3: Demonstrations of DL-AO correcting index mismatch induced aberration by imaging Tom20 proteins in COS-7 cells through 134 μm water-based imaging media (A)
+
+3D SMLM reconstruction of Tom20 imaged through 134 μm water- based media without AO, then reconstructed with in situ PSF model (INSPR) (B) 3D SMLM reconstruction of Tom20
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+340 imaged through 134 μm water- based media with DL- AO, then reconstructed with INSPR. (C) 341 Axial cross- section of region in A and B compared without and with DL- AO. (D) Enlarged 342 regions in A and B comparing cases without and with DL- AO. (E) 3D SMLM reconstruction of 343 Tom20 imaged through 134 μm water- based media with DL- AO, then reconstructed with INSPR. 344 (F) Axial cross- sections in A and B comparing cases without and with DL- AO combined with 345 reconstruction methods of either in vitro PSF model (PR) or in situ PSF models (INSPR). The 346 PR PSF model for no AO case was obtained from 100- nm- diameter crimson bead (referred to 347 as bead hereafter) next to the imaged area. The in vitro model for DL- AO was obtained from 348 beads at bottom coverslip surface. (G) Enlarged regions in A and B comparing cases without 349 and with DL- AO combined with reconstruction methods of either in vitro PR or INSPR. (H) 350 Cartoon of the constructed Tom20 specimen and visualization of pupil retrieved from beads at 351 top (No AO and DL- AO) and bottom (optimum) coverslip. (I) Raw blinking data (after converting 352 intensity readings in camera frames to approximate photon counts) of A and B compared 353 without and with DL- AO. Scale bar: 10 μm. (J) Comparison of measured PSFs at 134 μm 354 without and with DL- AO, in situ PSF models without and with DL- AO, and the instrument 355 optimum. Scale bar: 2 μm. (K) Fisher information content without and with DL- AO was 356 calculated based on PSF model built from beads nearby the imaged area. The values 357 correspond to PSFs with 1000 total photon counts and 10 background photons per pixel at axial 358 positions of - 1.5 μm to 1.5 μm.
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+Fig. 4: Demonstrations of DL-AO correcting sample induced aberrations by imaging Tom20 proteins in COS-7 cells through \(110\mu m\) unlabeled mouse brain section. (A) 3D SMLM reconstruction of Tom20 proteins imaged through unlabeled tissue without AO, reconstructed with in vitro PSF models: theoretical index mismatch model (PR, upper triangle) and in situ PSF models (INSPR, lower triangle). (B) Tom20 imaged through unlabeled tissue with DL-AO, reconstructed with in vitro PSF model (PR, upper triangle) and in situ PSF models
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+(INSPR, lower triangle). (C) Axial cross-sections in A and B comparing cases without and with DL- AO. (D) Zoom- in regions in A and B comparing cases with and without DL- AO. (E) Axial cross- sections along the dashed line in A and B. (F) Comparisons of PSFs and their pupil functions. The theoretical index mismatch model is based on a measured refractive index of 1.35 for sample media, which is measured by Abbe refractometer (334610, Thermo Scientific). Scale bar: \(2 \mu \mathrm{m}\) . Color code in A- E indicates axial positions.
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+Fig. 5: 3D reconstruction of immune- fluorescence- labeled amyloid- \(\beta\) fibrils in 125 \(\mu \mathrm{m}\) brain sections of 7.5- month- old 5XFAD female mouse. (A) Amyloid- \(\beta\) fibrils imaged using SMLM with DL- AO and reconstructed with in situ PSF model (INSPR) at 85 \(\mu \mathrm{m}\) from coverslip surface. Color code indicates axial positions of single molecule localizations (B) Sub- regions and cross- sections in A showing comparisons of A \(\beta\) fibrils imaged without and with DL- AO, reconstructed with either in vitro PSF model (PR) or in situ PSF models (INSPR) (C) Comparison between without and with AO, where without AO data are reconstructed using in vitro PR and AO data used INSPR reconstruction. (D, E) A \(\beta\) fibrils imaged with DL- AO and reconstructed with INSPR at 51 \(\mu \mathrm{m}\) and 67 \(\mu \mathrm{m}\) from coverslip surface. (F) Region in D comparing cases without and with DL- AO. (G) Axial cross- sections in D comparing without and with DL- AO. (H) Regions in E compared cases without and with DL- AO. (I) Axial cross- sections in E comparing cases without and with DL- AO. (J) Measurements of fibril widths in lateral and axial cross- sections in A, D, E. (K) Comparison between intensity profiles along white line in C without and with DL- AO. (L) Comparison between intensity profiles along white line in G without and with DL- AO. 'norm. I.' in K and L stands for normalized intensity, where intensity in reconstructed image reflects counts of localized single molecules. The imaged structures were found at depths near the axial limit of tissue thicknesses. Optically measured tissue thicknesses vary among samples, which might be caused by variations in media volume between bottom and top coverslips.
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+Fig. 6: 3D SMLM reconstruction dendrites and spines in immune-fluorescence-labeled Thy1-ChR2-EYFP in 150-250 \(\mu \mathrm{m}\) brain sections of 7-week-old mice. (A) Super-resolution reconstruction of Thy1-ChR2-EYFP using SMLM with DL-AO through a 250-μm-cut brain section. (B, C) Super-resolution reconstructions of Thy1-ChR2-EYFP using SMLM with DL-AO through 150-μm-cut brain sections. (D) Axial cross-sections identified spines in A, B, C. (E) Identified spines in A-C, and the corresponding size measurements of their necks and heads. 'Norm. I.' stands for normalized intensity, where intensity in reconstructed image reflects counts of localized single molecules. 'dist.' stands for distance. The histograms show the raw intensity counts along the lines indicated by white arrows in E. Sizes are measured at the full widths at
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+the half maximum intensity. Color code indicates axial positions. White arrows in A- C point towards identified spines. The imaged structures were found at depths near the axial limit of tissue thicknesses. Optically measured tissue thicknesses vary among samples, which might be caused by variations in media volume between bottom and top coverslips.
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+31. Ioffe, S. & Szegedy, C. Batch normalization: Accelerating deep network training by reducing internal covariate shift. in 32nd International Conference on Machine Learning, ICML 2015 1, 448–456 (2015).
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+32. Wang, B. & Booth, M. J. Optimum deformable mirror modes for sensorless adaptive optics. Opt. Commun. 282, 4467–4474 (2009).
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+33. Wyant, J. C. & Creath, K. Basic Wavefront Aberration Theory for Optical Metrology. in Applied Optics and Optical Engineering 11, 2 (Academic Press, 1992).
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+35. Hanser, B. M., Gustafsson, M. G. L., Agard, D. A. & Sedat, J. W. Phase-retrieved pupil functions in wide-field fluorescence microscopy. J. Microsc. 216, 32–48 (2004).
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+36. Haber, A. & Bifano, T. General approach to precise deformable mirror control. Opt. Express 29, 33741–33759 (2021).
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+37. Wurm, C. A. et al. Nanoscale distribution of mitochondrial import receptor Tom20 is adjusted to cellular conditions and exhibits an inner-cellular gradient. Proc. Natl. Acad. Sci. USA 108, 13546–13551 (2011).
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+38. Salloway, S. et al. Amyloid-Related Imaging Abnormalities in 2 Phase 3 Studies Evaluating Aducanumab in Patients with Early Alzheimer Disease. JAMA Neurol. 79, 13–21 (2022).
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+39. Sevigny, J. et al. The antibody aducanumab reduces Aβ plaques in Alzheimer's disease. Nature 537, 50–56 (2016).
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+40. Oakley, H. et al. Intraneuronal β-amyloid aggregates, neurodegeneration, and neuron loss in transgenic mice with five familial Alzheimer's disease mutations: Potential factors
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+in amyloid plaque formation. J. Neurosci. 26, 10129–10140 (2006). 41. Berry, K. P. & Nedivi, E. Spine Dynamics: Are They All the Same? Neuron 96, 43–55 (2017). 42. Pchitskaya, E. & Bezprozvanny, I. Dendritic Spines Shape Analysis—Classification or Clusterization? Perspective. Front. Synaptic Neurosci. 12, 31 (2020). 43. Tonnesen, J., Katona, G., Rózsa, B. & Nägerl, U. V. Spine neck plasticity regulates compartmentalization of synapses. Nat. Neurosci. 17, 678–685 (2014). 44. Runge, K., Cardoso, C. & de Chevigny, A. Dendritic Spine Plasticity: Function and Mechanisms. Front. Synaptic Neurosci. 12, 36 (2020). 45. Kissinger, S. T. et al. Visual Experience-Dependent Oscillations and Underlying Circuit Connectivity Changes Are Impaired in Fmr1 KO Mice. Cell Rep. 31, 107486 (2020). 46. Arenkiel, B. R. et al. In Vivo Light-Induced Activation of Neural Circuitry in Transgenic Mice Expressing Channelrhodopsin-2. Neuron 54, 205–218 (2007). 47. Kubota, Y. et al. Conserved properties of dendritic trees in four cortical interneuron subtypes. Sci. Rep. 1, 1–13 (2011). 48. Behabadi, B. F. & Mel, B. W. J4 at Sweet 16: A New Wrinkle? Neural Comput. 19, 2865–2870 (2007). 49. Legant, W. R. et al. High-density three-dimensional localization microscopy across large volumes. Nat. Methods 13, 359–365 (2016). 50. Power, R. M. & Huisken, J. A guide to light-sheet fluorescence microscopy for multiscale imaging. Nat. Methods 14, 360–373 (2017). 51. Gradinaru, V., Treweek, J., Overton, K. & Deisseroth, K. Hydrogel-Tissue Chemistry:
+
+<--- Page Split --->
+
+520 Principles and Applications. Annu. Rev. Biophys 47, 355–376 (2018).
+
+521 52. Boyden, E. S., Zhang, F., Bamberg, E., Nagel, G. & Deisseroth, K. Millisecond-timescale, genetically targeted optical control of neural activity. Nat. Neurosci. 8, 1263–1268 (2005).
+
+<--- Page Split --->
+
+## Acknowledgements
+
+We would like to thank Fan Xu for suggestions on PSF segmentation and super resolution reconstruction process (current address Beijing Institute of Technology). We would like to thank Sheng Liu for suggestions on phase retrieval algorithm and PSF generation process (current address European Molecular Biology Laboratory). We thank Yue Zheng, Purdue University for suggestions on the manuscript. This work was supported by the US National Institutes of Health (grants GM119785 to F.H., MH123401 to F.H. and A.A.C. and RF1AG074566 to G.E.L).
+
+## Author contributions
+
+P.Z. and F.H. conceived the project and designed the experiments for DL- AO characterization. P.Z. developed the DL- AO workflow, wrote the DL- AO instrument control, performed experiments and analyzed the data. D.M. developed the microscope setup. P.Z., D.M. and H.G. performed and optimized deformable mirror calibration. X.C. and A.P.T. optimized staining procedure for tissue specimens. P.Z., X.C., A.P.T., Y.T., L.F., C.B., A.A.C. and F.H. designed the experiments and prepared biological samples. G.E.L., A.A.C., and F.H. supervised the study. All authors wrote the manuscript.
+
+<--- Page Split --->
+
+## Methods
+
+## Preparation of fluorescent beads on coverslips
+
+We cleaned 25- mm- diameter coverslips (CSHP- No1.5- 25, Bioscience Tools) successively in ethanol (2701, Decon) and HPLC- grade water (W5- 4, Fisher Chemical) for three times and then dried them with compressed air. To promote fluorescent beads adhesion on coverslip, 200 μL of poly- l- lysine solution (P4707, Sigma- Aldrich) was added to one coverslip and incubated for 20 min at room temperature (RT). Following poly- l- lysine treatment, the coverslip was subsequently rinsed with deionized water. For beads incubation, we first diluted 100- nm- diameter crimson beads (custom- designed, Invitrogen) to 1: 1,000,000 in deionized water. Then we added 200 μL of the diluted bead solution to the center of the coverslip and incubated for 20 min at RT. The coverslip was subsequently rinsed with deionized water. The treated coverslip was placed on a custom- made holder6, and 20 μL of 38% 2,2'- thiodiethanol (166782, Sigma- Aldrich) in 1× PBS (10010023, Gibco) was added to its center. Another 25- mm- diameter coverslip (also cleaned by using the above protocol) was placed on top of this coverslip. This coverslip sandwich was sealed with two- component silicone dental glue (Twinsil speed 22, Dental- Produktions und Vertriebs GmbH).
+
+## Cell culture
+
+COS- 7 cells (CRL- 1651, ATCC) were grown on coverslips placed in six- well plates and cultured in DMEM (30- 2002, ATCC) with 10% FBS (30- 2020, ATCC) and 1% penicillin- streptomycin (15140122, Gibco) at 37 °C with 5% CO2. The cells are passaged when their confluence reaches 80%. And the cells were fixed for imaging when their confluence reaches about 30%.
+
+## Fixation and labeling of Tom20 in COS-7 cells
+
+Cultured cells were first fixed with 37 °C pre- warmed 3% Formaldehyde aqueous solution (diluted in 1× PBS from 16% Formaldehyde aqueous solution, 15710, Electron Microscopy
+
+<--- Page Split --->
+
+Sciences) and \(0.5\%\) Glutaraldehyde aqueous solution (diluted in \(1\times\) PBS from \(8\%\) Glutaraldehyde aqueous solution, 16019, Electron Microscopy Sciences), with gently rocking at room temperature (RT) for \(15\min\) . After fixation, cells were rinsed twice with \(1\times\) PBS and then quenched for \(7\min\) with freshly prepared \(0.1\%\) NaBH4 (452882, Sigma- Aldrich) in \(1\times\) PBS. The cells were rinsed three times with \(1\times\) PBS and blocked with solution containing \(3\%\) BSA (001- 000- 162, Jackson ImmunoResearch) and \(0.2\%\) Triton X- 100 in \(1\times\) PBS, with gently rocking at RT for \(1\mathsf{h}\) . After blocking, the cells were incubated at \(4^{\circ}C\) overnight with primary antibody (sc- 11415, Santa Cruz Biotechnology), 1:500 diluted in antibody dilution buffer ( \(1\%\) BSA and \(0.2\%\) Triton X- 100 in \(1\times\) PBS). We then washed cells three times with \(5\min\) each time in \(0.05\%\) Triton X- 100 in \(1\times\) PBS, and incubated cells at RT for \(5\mathsf{h}\) with secondary antibody (A21245, Invitrogen, for Alexa Fluor 647), 1:500 diluted in antibody dilution buffer ( \(1\%\) BSA and \(0.2\%\) Triton X- 100 in \(1\times\) PBS). After being washed three times with \(5\min\) each time in \(0.05\%\) Triton X- 100 in \(1\times\) PBS, cells were post- fixed with \(4\%\) Formaldehyde aqueous solution (1:4 diluted with \(1\times\) PBS from \(16\%\) Formaldehyde aqueous solution, Electron Microscopy Sciences) at RT for \(10\min\) . Cells were then rinsed three times with \(1\times\) PBS and stored in \(1\times\) PBS at \(4^{\circ}C\) .
+
+## Fixation and labeling of amyloid- \(\beta\) in mouse-brain sections
+
+The 5xFAD Alzheimer's disease (AD) mouse model was used for immunostaining amyloid \(\beta\) . Mice were maintained on the C57BL/6J (B6) background, which were purchased from the Jackson Laboratory (JAX MMRRC Stock# 034848). The 5xFAD transgenic mice overexpress the following five familial Alzheimer's disease (FAD) mutations under control of the Thy1 promoter: the APP (695) transgene containing the Swedish (K670N, M671L), Florida (I716V), and London (V7171) mutations, and the PSEN1 transgene containing the M146L and L286V FAD mutations33.
+
+Up to five mice were housed per cage with SaniChip bedding and LabDiet® 5K52/5K67 ( \(6\%\) fat) feed. The colony room was kept on a 12:12 h light/dark schedule with the lights on from 7:00 am
+
+<--- Page Split --->
+
+to 7:00 pm daily. The mice were bred and housed in specific- pathogen- free conditions. Only female mice were used.
+
+Mice were euthanized by perfusion with ice- cold phosphate- buffered saline (PBS) following full anesthetization with Avertin® (125- 250 mg/kg intraperitoneal injection)53. Animals used in the study were housed in the Stark Neurosciences Research Institute Laboratory Animal Resource Center, Indiana University School of Medicine. All animals were maintained, and experiments performed in accordance with the recommendations in the Guide for the Care and Use of Laboratory Animals of the National Institutes of Health. The protocol was approved by the Institutional Animal Care and Use Committee (IACUC) at Indiana University School of Medicine.
+
+Perfused brains from mice at 7.5 months of age were fixed in \(4\%\) formaldehyde in aqueous solution (1:4 diluted with \(1 \times\) PBS from \(16\%\) Formaldehyde Aqueous Solution, Electron Microscopy Sciences) for \(24 \text{h}\) at \(4^{\circ}\text{C}\) . Following fixation, brains were cryoprotected in \(30\%\) sucrose at \(4^{\circ}\text{C}\) , and then cut into sections of \(150 \mu \text{m}\) by a vibratome (7000smz- 2, Campden Instruments). For immunostaining, free- floating sections were washed and permeabilized with \(0.1\%\) Triton X- 100 in \(1 \times\) PBS (PBST), and antigen retrieval was subsequently performed using \(1 \times\) Reveal Decloaker (Biocare Medical) at \(85^{\circ}\text{C}\) for \(10 \text{min}\) . Sections were blocked in \(5\%\) normal donkey serum (D9663 Sigma- Aldrich) in PBST for \(1 \text{h}\) at RT. The sections were then incubated with \(\beta\) - Amyloid Antibody (Cell Signaling Technology #2454, rabbit), \(1:1000\) diluted in \(5\%\) normal donkey serum in PBST at \(4^{\circ}\text{C}\) overnight. Sections were washed and stained for \(1 \text{h}\) at RT with secondary antibody (A31573, Invitrogen, for Alexa Fluor 647) diluted at \(1:1000\) in \(5\%\) normal donkey serum in PBST54.
+
+## Fixation and labeling of Thy1+ pyramid cells in mouse brain sections
+
+To obtain mice expressing the proper amount of ChR2- EYFP in Thy1+ pyramidal cells, the litters of Thy1- ChR2- EYFP (B6. Cg- Tg (Thy1- COP4/EYFP)18Gfng/J, Jackson Lab) cross with
+
+<--- Page Split --->
+
+B6 (C57BL/6, Jackson Lab) were used for the labeling. To extract the brains for sectioning, the litters of seven- week- old were first anesthetized by intraperitoneal injections of a mix of 90 mg/kg ketamine (59399- 114- 10, Akron) and 10 mg/kg xylazine (343750, HVS). After confirmation of deep anesthesia, the abdomen was open to expose the diaphragm. The chest cavity was then opened by cutting through the diaphragm and ribs to expose the heart. The trans- cardiac perfusion was performed by inserting the needle into the left ventricle and a small incision at the right atrium. Mice were perfused with \(1 \times\) PBS (1:10 diluted from DSP32060, Dot Scientific). After the liver was pale, mice were continuously perfused with \(4\%\) Formaldehyde Aqueous Solution (1:8 diluted with \(1 \times\) PBS from \(32\%\) Formaldehyde Aqueous Solution, Electron Microscopy Sciences) to pre- fix the brain until the muscle turned stiff. Brains were carefully collected and placed in \(4\%\) Formaldehyde Aqueous Solution to post- fix at \(4^{\circ} \mathrm{C}\) overnight. The fixed brains were trimmed for coronal slicing. The trimmed brains were fixed and cut into sections of \(150 \mu \mathrm{m}\) , \(200 \mu \mathrm{m}\) and \(250 \mu \mathrm{m}\) by a vibratome (1000 Plus, TPI Vibratome).
+
+The brain sections were washed three times, 15 min for each time, in wash buffer (0.1% Triton X- 100 in \(1 \times\) PBS) with a gentle shake (120 rpm, Orbi- Shaker, Benchmark), and then were incubated in blocking butter (5% BSA (A9647, Sigma- Aldrich) in \(1 \times\) PBS) for 1.5 h with a gentle shake. The blocked brain sections were incubated with chicken anti- GFP antibody (ab13970, Abcam, diluted to 1:1,000 in blocking buffer) at \(4^{\circ} \mathrm{C}\) overnight. After being washed three times in the wash buffer as in the first step, the slices were incubated with goat anti- chicken Alexa Fluor 647- conjugated antibody (A21449, Invitrogen, diluted to 1:600 in wash buffer) at room temperature for 2 h with a gentle rocking.
+
+All animals were maintained, and experiments performed in accordance with the recommendations in the Guide for the Care and Use of Laboratory Animals of the National Institutes of Health. The protocol was approved by the Institutional Animal Care and Use Committee (IACUC) at Purdue University.
+
+<--- Page Split --->
+
+## Imaging buffer and sample mounting for SMLM
+
+Immediately before SMLM imaging, the coverslip with specimens on top was placed on a custom- made holder6. Imaging buffer55 (10% (wt/vol) glucose in 50 mM Tris, 50 mM NaCl, 10 mM MEA, 50 mM BME, 2 mM COT, 2.5 mM PCA and 50 nM PCD, pH 8.0) was added to the coverslip. Then another cleaned coverslip was placed on top of the imaging buffer. This coverslip sandwich was sealed with two- component silicone dental glue. Samples with immune- fluorescence- labeled cells on the top coverslips were prepared as described below: 200 μL of poly- l- lysine solution was added to the bottom coverslip, incubated for 20 min and subsequently rinsed with deionized water. Then 20 μL of microsphere suspension (134 μm in diameter, 7640A, Thermo Scientific) was spread around the outer ring area of the coverslip, and incubated at RT until the coverslip was dried. Then we placed this coverslip with microspheres at the bottom, added 50- 80 μL imaging buffer without touching the microspheres, and added the coverslip with cells on top of it, with the cell- side surface facing down.
+
+## Microscope setup
+
+All experimental data were recorded on a custom- designed SMLM setup built around an Olympus IX- 73 microscope stand (Olympus America). This system is equipped with a \(100\times /1.35\) - NA (numerical aperture) silicone oil- immersion objective lens (UPLSAPO100XS, Olympus America), a PIFOC objective positioner (ND722ZLAQ, Physik Instrumente), a three- axis piezo nano- positioning systems (Nano- LP100, Mad City Labs) and a manual XY stage (MicroStage- LT, Mad City Labs Inc.). A continuous- wave laser at wavelength of 642 nm (2RU- VFL- P- 2000- 642- B1R, MPB Communications) was coupled into a polarization- maintaining single- mode fiber (PM- S405- XP, Thorlabs) after passing through an acousto- optic tunable filter (AOTFnC- 400.650- TN, AA Opto- electronic) for power modulation. The excitation light coming out of the fiber was focused to the pupil plane of the objective lens after passing through a filter cube holding a quadband dichroic mirror (Di03- R405/488/561/635- t1, Semrock). The emission
+
+<--- Page Split --->
+
+fluorescence was split with a 50/50 non- polarizing beam splitter (BS016, Thorlabs) mounted on a kinematic base (KB25/M, Thorlabs). The separated fluorescent signals were delivered by two mirrors onto a \(90^{\circ}\) specialty mirror (47- 005, Edmund Optics), passed through a band- pass filter (FF01- 731/137- 25), and were then projected on an sCMOS camera (Orca- Flash4.0v3, Hamamatsu) with an effective pixel size of \(119\mathrm{nm}\) on the sample plane. The detection planes that received the signals transmitted and reflected by the beam splitter were referred to as plane 1 and plane 2, respectively. The pupil plane of the objective lens was imaged onto a deformable mirror (Multi- 3.5, Boston Micromachines). The imaging system was controlled by a custom- written program in LabVIEW (National Instruments).
+
+## Measurement of mirror deformation modes
+
+The experimental mirror deformation modes25 (Supplementary Note 1) were measured using fluorescent bead sample described above. We introduced a positive and a negative (unit amplitude) mirror changes for each of the 28 mirror deformation modes. For each mirror shape setting, we acquired PSFs at z positions from \(- 1.5\mu \mathrm{m}\) to \(1.5\mu \mathrm{m}\) , with a step size of \(100\mathrm{nm}\) , a frame rate of \(10\mathrm{Hz}\) , and 3 frames per z position. Pupil phase was extracted through phase retrieval algorithm for each mirror change. To obtain the experimental mirror deformation bases without the influences of instrument or sample induced aberrations, we calculated the differences of the retrieved pupil phases between the positive and negative unit changes of mirror modes and divided them by two. The actual distortion level introduced by each experimental mirror mode is quantified through root mean square wavefront error28 (Methods, Supplementary Note 3).
+
+## Measurement of instrument optimum
+
+We define instrument optimum as the status where optical hardware was optimized to limit the inherent system aberrations. To obtain this optimized status, we followed a previously described
+
+<--- Page Split --->
+
+method6, where the deformable mirror was adjusted as follows. Starting from the flat voltage map (provided by the manufacturer) of the deformable mirror, 28 mirror modes (Fig. SS4) were applied sequentially. For each mirror mode, 11 different amplitudes were applied while recording the corresponding fluorescence signal from an in- focus 100- nm crimson bead sample. To extract the fluorescence signal from individual beads, the symmetry center of each imaged bead was obtained using the radial symmetry method56. Subsequently, a symmetric 2D Gaussian was generated at the symmetry center and was multiplied by the isolated emission pattern from the fluorescent bead, generating a Gaussian- masked image, and then the total intensity of the masked image was calculated to extract the center peak signal of the beads in focus. For each mirror mode, images of the bead were acquired at 11 different mirror mode amplitudes and the corresponding center peak signals of the bead were extracted as described above. The optimal amplitude (i.e. the amplitude providing the highest center peak signal from the beads) was determined from a quadratic fit of these 11 signal measurements vs. mirror mode amplitudes. After identifying optimal amplitudes for each of the 28 modes, these amplitudes were added to the flat voltage map (provided by the manufacturer), serving as the starting point for another iteration. This iterative process was repeated five times to achieve optimal system aberration correction. PSFs under instrument optimum were measured using fluorescent beads sample described above. Data were acquired at a series of z positions from – \(1.5 \mu m\) to \(1.5 \mu m\), with a step size of \(100 nm\), a frame rate of \(10 Hz\), and 3 frames per z position. Phase retrieval algorithm was then performed on the bead stack to obtain the pupil function under instrument optimum. The instrument optimum can be further verified by decomposing the pupil phase into Zernike mode12 and checking whether the absolute values of first 64 Zernike coefficients (Wyant order28) are smaller than \(0.2 \lambda /2\pi\).
+
+<--- Page Split --->
+
+## Calculation of mean square wavefront error
+
+The root mean square wavefront errors \((W_{rms})\) were calculated by the root mean square among all pixels within in the image of pupil phase angle. \(W_{rms}\) for experimental wavefronts were either calculated using the pupil phase obtained by phase retrieval from fluorescent beads (Fig. SS4), or calculated using the wavefront images composed of linear combination of experimental mirror deformation modes as estimated by DL- AO (Fig. 2E, 2F, Supplementary Figs. 4, 7- 9, 12, 13, 15).
+
+## Measurement of network responses to individual mirror deformation modes
+
+The aberrated PSFs for characterizing network responses (Supplementary Figs. 7- 9) were measured using either Tom20 specimens or fluorescent bead samples described above. The samples were first excited with the 642- nm laser at a low intensity of \(\sim 50 \text{W / cm}^2\) to find regions of interest. Then data containing single molecule blinking events were collected at a laser intensity of \(2 - 6 \text{kW / cm}^2\) and a frame rate of \(50 \text{Hz}\) . The aberrated PSFs from the fluorescent bead samples were measured the same way as we measured PSFs under instrument optimum. A set of PSF measurements were performed under positive and negative unit changes of each mirror deformation mode, the differences of network output between positive and negative mirror changes were calculated and divided by two to be the final response vector for each mirror deformation mode.
+
+## SMLM acquisition with DL-AO
+
+In SMLM data acquisition, the fluorescently labeled samples were first excited with a 642- nm laser at a low intensity of \(\sim 50 \text{W / cm}^2\) to find a region of interest. Imaging depths of mitochondria specimens were measured by the differences of PIFOC readings between the apparent focus of the region- of- interest and the bottom coverslip surface. The imaging depths for immune- fluorescence- labeled tissue specimens were measured by the differences of PIFOC readings
+
+<--- Page Split --->
+
+between apparent focuses of the region- of- interest and the fluorescent signal closest to bottom coverslip surface. Before SMLM experiments, bright- field images of this region were recorded over an axial range from \(- 1\) to \(+1 \mu \mathrm{m}\) with a step size of \(100 \mathrm{nm}\) as reference images for focus stabilization \(^{57}\) . Then the blinking data were collected at a laser intensity of \(2 - 6 \mathrm{kW / cm^2}\) and a frame rate of \(50 \mathrm{Hz}\) , where the first \(\sim 3 - 20\) cycles were used for DL- AO, with 20- 100 frames per cycle. In the case where significant background photons were observed ( \(\sim 100\) per pixel per frame), a temporal median filter was used to estimate structured background for each pixel. This background map was subtracted from each camera frame before the frames are segmented into sub- regions for DL- AO processing. After DL- AO correction, 2000 frames were collected per cycle, and 20- 120 cycles (50000- 236000 frames, Supplementary Table 2) were collected per imaging area. For the interleaved SMLM imaging without and with AO, deformable mirror shape was set to switch between DL- AO compensated shape and the shape used for instrument optimum (Methods) per imaging cycle (2000 frames). Acquisition of no- AO data was performed first in the interleaved sequence for fair comparison. Upon each switch between no- AO and DL- AO acquisitions, PIFOC objective positioner was moved to compensate apparent focal shift in the case of index mismatch induced aberration \(^{58}\) . The focal shifts were determined by an estimated linear relationship between the apparent focus shift and the amplitudes of two radially symmetric mirror deformation modes. The shifts per unit amplitude changes were empirically estimated to be \(- 0.3 \mu \mathrm{m}\) for mirror mode 5 and \(- 0.2 \mu \mathrm{m}\) for mirror mode 15 (Fig. SS4). Here, a negative movement of PIFOC objective positioner corresponds to shifting the imaging plane closer to the bottom coverslip surface.
+
+## Structure size quantification in the reconstructed images
+
+The neck sizes of dendritic spines are measured as follows. First we selected a profile line at the location where measurement is to be made. A rectangular box was then cropped along the line, with its width ranging from 50- 500 nm (depending on the spine neck length and the number
+
+<--- Page Split --->
+
+of localizations). The localization result inside this rectangular box was isolated and rendered into an image with 3 nm pixel size. Each point in the rendered image is blurred with a Gaussian kernel of 3 pixels in width. Intensity profile was generated along the profile line by sum projection and subsequently the histogram was normalized by dividing its maximum value. The spine neck sizes were calculated by the full width at the half maximum of the intensity histogram. Spine head sizes were measured the same way as that for the spine necks. The Amyloid \(\beta\) fibrils' widths were measured the same way as that for the spine necks, except for a Gaussian function was used to fit the line profile ('fit', Curve Fitting Toolbox 2020a, MATLAB R2020a, The MathWorks, Inc.), with Gaussian function switched between 'gauss1' (single Gaussian fit) and 'gauss2' (two Gaussians) depending on the number of peaks observed in intensity histogram. The half width at the half maximum of the fitted Gaussian curve is treated as the width of each fibril.
+
+<--- Page Split --->
+
+## Additional References
+
+53. Tsai, A. P. et al. PLCG2 is associated with the inflammatory response and is induced by amyloid plaques in Alzheimer's disease. Genome Med. 14, 1-13 (2022).
+
+54. Tsai, A. P. et al. INPP5D expression is associated with risk for Alzheimer's disease and induced by plaque-associated microglia. Neurobiol. Dis. 153, 105303 (2021).
+
+55. Olivier, N., Keller, D., Gönczy, P. & Manley, S. Resolution Doubling in 3D-STORM Imaging through Improved Buffers. PLoS One 8, 1-9 (2013).
+
+56. Parthasarathy, R. Rapid, accurate particle tracking by calculation of radial symmetry centers. Nat. Methods 9, 724-726 (2012).
+
+57. Mcgorty, R., Kamiyama, D. & Huang, B. Active microscope stabilization in three dimensions using image correlation. Opt. Nanoscopy 2, 1-7 (2013).
+
+58. Petrov, P. N. & Moerner, W. E. Addressing systematic errors in axial distance measurements in single-emitter localization microscopy. Opt. Express 28, 18616 (2020).
+
+<--- Page Split --->
+
+## Supplementary Files
+
+This is a list of supplementary files associated with this preprint. Click to download.
+
+- 20220523DLAOSupplementssubmit.pdf- SupplementaryVideos.zip
+
+<--- Page Split --->
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@@ -0,0 +1,519 @@
+<|ref|>title<|/ref|><|det|>[[44, 107, 883, 177]]<|/det|>
+# Deep Learning Driven Adaptive Optics for Single Molecule Localization Microscopy
+
+<|ref|>text<|/ref|><|det|>[[44, 195, 701, 238]]<|/det|>
+Fang Huang ( \(\boxed{\bullet}\) fanghuang@purdue.edu) Purdue University West Lafayette https://orcid.org/0000- 0003- 1301- 1799
+
+<|ref|>text<|/ref|><|det|>[[44, 243, 567, 285]]<|/det|>
+Peiyi Zhang Purdue University https://orcid.org/0000- 0002- 1100- 3720
+
+<|ref|>text<|/ref|><|det|>[[44, 290, 567, 333]]<|/det|>
+Donghan Ma Purdue University https://orcid.org/0000- 0001- 6264- 2824
+
+<|ref|>text<|/ref|><|det|>[[44, 338, 210, 378]]<|/det|>
+Xi Cheng Purdue University
+
+<|ref|>text<|/ref|><|det|>[[44, 384, 213, 424]]<|/det|>
+Andy Tsai Indiana University
+
+<|ref|>text<|/ref|><|det|>[[44, 430, 210, 470]]<|/det|>
+Yu Tang Purdue University
+
+<|ref|>text<|/ref|><|det|>[[44, 475, 210, 515]]<|/det|>
+Hao-Cheng Gao Purdue University
+
+<|ref|>text<|/ref|><|det|>[[44, 521, 210, 561]]<|/det|>
+Li Fang Purdue University
+
+<|ref|>text<|/ref|><|det|>[[44, 567, 346, 608]]<|/det|>
+Cheng Bi Purdue University West Lafayette
+
+<|ref|>text<|/ref|><|det|>[[44, 614, 744, 656]]<|/det|>
+Gary Landreth Indiana University School of Medicine https://orcid.org/0000- 0002- 8808- 424X
+
+<|ref|>text<|/ref|><|det|>[[44, 660, 702, 702]]<|/det|>
+Alexander Chubykin Purdue University West Lafayette https://orcid.org/0000- 0001- 8224- 9296
+
+<|ref|>text<|/ref|><|det|>[[44, 742, 230, 761]]<|/det|>
+Brief Communication
+
+<|ref|>text<|/ref|><|det|>[[44, 780, 137, 799]]<|/det|>
+Keywords:
+
+<|ref|>text<|/ref|><|det|>[[44, 818, 297, 838]]<|/det|>
+Posted Date: June 2nd, 2022
+
+<|ref|>text<|/ref|><|det|>[[44, 856, 475, 876]]<|/det|>
+DOI: https://doi.org/10.21203/rs.3.rs- 1690151/v1
+
+<|ref|>text<|/ref|><|det|>[[44, 894, 909, 936]]<|/det|>
+License: © This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[0, 0, 997, 997]]<|/det|>
+# 1. 1. 1. 1. 1. 1. 1. 2. 2. 2. 2. 2. 2. 2.
+
+<--- Page Split --->
+<|ref|>title<|/ref|><|det|>[[158, 90, 840, 138]]<|/det|>
+# Deep Learning Driven Adaptive Optics for Single Molecule Localization Microscopy
+
+<|ref|>text<|/ref|><|det|>[[111, 160, 840, 180]]<|/det|>
+Peiyi Zhang \(^{1}\) , Donghan Ma \(^{1,2}\) , Xi Cheng \(^{3,4}\) , Andy P. Tsai \(^{5}\) , Yu Tang \(^{3,4}\) , Hao- Cheng Gao \(^{1}\) , Li
+
+<|ref|>text<|/ref|><|det|>[[111, 180, 830, 199]]<|/det|>
+Fang \(^{1}\) , Cheng Bi \(^{1}\) , Gary E. Landreth \(^{5,6,*}\) , Alexander A. Chubykin \(^{3,4,*}\) and Fang Huang \(^{1,4,7,*}\)
+
+<|ref|>text<|/ref|><|det|>[[111, 208, 820, 226]]<|/det|>
+\(^{1}\) Weldon School of Biomedical Engineering, Purdue University, West Lafayette, IN, USA
+
+<|ref|>text<|/ref|><|det|>[[111, 235, 820, 254]]<|/det|>
+\(^{2}\) Davidson School of Chemical Engineering, Purdue University, West Lafayette, IN, USA
+
+<|ref|>text<|/ref|><|det|>[[111, 263, 755, 282]]<|/det|>
+\(^{3}\) Department of Biological Sciences, Purdue University, West Lafayette, IN, USA
+
+<|ref|>text<|/ref|><|det|>[[111, 291, 837, 310]]<|/det|>
+\(^{4}\) Purdue Institute for Integrative Neuroscience, Purdue University, West Lafayette, IN, USA
+
+<|ref|>text<|/ref|><|det|>[[111, 318, 860, 355]]<|/det|>
+\(^{5}\) Stark Neurosciences Research Institute, Indiana University School of Medicine, Indianapolis, IN, USA.
+
+<|ref|>text<|/ref|><|det|>[[111, 363, 863, 400]]<|/det|>
+\(^{6}\) Department of Anatomy, Cell Biology and Physiology, Indiana University School of Medicine, Indianapolis, IN, USA
+
+<|ref|>text<|/ref|><|det|>[[111, 408, 875, 445]]<|/det|>
+\(^{7}\) Purdue Institute of Inflammation, Immunology and Infectious Disease, Purdue University, West Lafayette, IN, USA
+
+<|ref|>text<|/ref|><|det|>[[111, 453, 815, 472]]<|/det|>
+\(^{*}\) Correspondence to: fanghuang@purdue.edu, chubykin@purdue.edu, glandret@iu.edu
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 506, 269, 524]]<|/det|>
+## INTRODUCTION
+
+<|ref|>text<|/ref|><|det|>[[111, 530, 886, 840]]<|/det|>
+Fluorescent microscopy is an indispensable tool in visualizing cellular and tissue machinery with molecular specificity, however, its resolution is limited to 250- 700 nm laterally and axially due to the diffraction of light \(^{1}\) . Molecular features smaller than this limit cannot be resolved. Super- resolution microscopies such as Stimulated Emission Depletion Microscopy (STED) \(^{2}\) , Structured Illumination Microscopy (SIM) \(^{3}\) , and Single Molecule Localization Microscopy (SMLM) \(^{4 - 6}\) have overcome this barrier, allowing biological observations well beyond this fundamental limit of light. In particular, SMLM detects isolated photo- switchable or convertible fluorescent dyes or proteins, pinpoints the centers of individual probes from their emission patterns, and reconstructs the molecular centers into a super- resolution image. Localization precision as low as 1- 10 nm can be achieved in fixed and living cells \(^{7 - 11}\) .
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 88, 880, 363]]<|/det|>
+SMLM in tissues, however, is challenging. One major reason is the distortion and blurring of single molecule emission patterns (i.e. PSFs) caused by the inhomogeneous refractive indices within the tissue. Such alteration often reduces the information content \(^{12}\) carried by each detected photon, increases localization uncertainty, and thus causes significant resolution loss, which is irreversible by post- processing \(^{13}\) . Reversing these sample induced aberrations requires optical path modifications in a microscopy system, commonly with a deformable mirror or a spatial light modulator, responsive towards each specimen and field- of- view to adaptively restore the PSFs of single emitters, and thus the achievable resolution. This process is known as adaptive optics (AO) \(^{14 - 18}\) .
+
+<|ref|>text<|/ref|><|det|>[[110, 384, 884, 856]]<|/det|>
+Guiding a deformable mirror to compensate sample induced aberrations, the distorted wavefront needs to be measured \(^{16,17}\) . For point- scanning microscopes, such as confocal and two- photon, the detection focus serves as a 'guide star' providing a stable wavefront measurable both directly and indirectly \(^{14,15,17,18}\) . In contrast, wavefronts of single molecule emissions, in spite of their abundance in SMLM experiments, cannot be directly measured as the signals from individual molecules blink stochastically with limited photons \(^{19}\) . Besides, wavefronts passing through the system are composed of not only the aberrated wavefront induced by the specimen, but also the wavefront variations induced by lateral and axial positions from a collection of emitters in a volume. For this reason, current sensorless AO- SMLM developments \(^{20 - 24}\) focus on iteratively introducing mirror changes then evaluating the changes with image- quality metrics. Despite that these iterative methods require a large number of cycles, each including image acquisition and mirror changes, to reach the optimal correction, these approaches provide robust corrections for tissue induced aberrations only when the target tissue structures are planar or with small axial extent (Supplementary Fig. 1). This is because emission patterns from single molecules at different axial positions results in inconsistent, and, in some cases,
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 866, 140]]<|/det|>
+even opposite metric responses and thus fundamentally limit the efficacy of these approaches for aberration correction in tissues (Supplementary Note 1).
+
+<|ref|>text<|/ref|><|det|>[[111, 161, 866, 469]]<|/det|>
+Bypassing the previous iterative trial- then- evaluate processes, we developed deep learning driven adaptive optics for SMLM to allow direct inference of wavefront distortion and near real- time compensation. Our trained deep neural network (DNN) monitors the individual emission patterns from single molecule experiments, infers their shared wavefront distortion, feeds the estimates through a dynamic filter (Kalman), and drives a deformable mirror to compensate sample induced aberrations. The method, referred to as deep learning driven adaptive optics (DL- AO) for single molecule imaging, simultaneously estimates and compensates 28 types of wavefront deformation shapes, restores single molecule emission patterns approaching the conditions untouched by specimen, and improves the resolution and fidelity of 3D SMLM through thick tissue specimens over 130 μm, with as few as 3- 20 mirror changes.
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 534, 210, 551]]<|/det|>
+## RESULTS
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 560, 297, 579]]<|/det|>
+## 1. Design of DL-AO
+
+<|ref|>text<|/ref|><|det|>[[111, 592, 880, 902]]<|/det|>
+Single molecule emission patterns generated by individual fluorescence molecules carry information not only about their molecular center positions, but also about the shared wavefront distortion25. The random lateral and axial positions of the blinking fluorescent molecules and their limited photons emitted in SMLM experiments, make these emission patterns unsuitable for direct wavefront measurement14,15. Single molecule deep neural network (smNet)26 was demonstrated in its capacity to infer wavefront distortions from individual PSFs in simulation and its responsiveness in experimental datasets. Moving from the inference task to active control of a deformable mirror driven by deep learning is, however, nontrivial. Here, we describe our developments in experimental wavefront based training, stacked estimation networks, and stabilized feedback controls through Kalman filter (Fig. 1).
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 880, 558]]<|/det|>
+Upon detection of SMLM frames, single molecule- containing sub- regions are segmented and sent to the network (Supplementary Note 2.2). Each input sub- region goes through a sequence of template matching processes, which are organized as convolutional layers \(^{27,28}\) and residual blocks \(^{29}\) with PReLU activations \(^{30}\) and batch normalizations \(^{31}\) in between, then "fully connects" through \(1 \times 1\) convolutional layers to an output vector of 28 values — amplitude estimates for wavefront shapes in terms of the native mirror deformation modes \(^{32}\) (hereafter referred to as mirror modes). Representing wavefront with coefficients of orthogonal basis helps cut down on the number of outputs and network parameters to be optimized in training. Forming this orthogonal basis directly from native mirror deformations further ensured the coefficients' accuracy in representing mirror responses. With this consideration, the conversion from mirror modes to Zernike polynomials \(^{33}\) — commonly used as the analytical basis to describe aberrations—is dropped to minimize mismatches between mirror responses and Zernike- based wavefront shapes (Supplementary Note 3). The residual differences between theoretical expectations and experimental mirror deformations (Supplementary Fig. 4) are incorporated into training data generation.
+
+<|ref|>text<|/ref|><|det|>[[111, 577, 879, 886]]<|/det|>
+To build an accurate link between experimentally detected emission patterns and the mirror control with neural networks, it is imperative to train the network with data that match those obtained experimentally. However, experimental training data of single molecules are challenging to obtain, since the ground- truth wavefronts are usually unknown and the extensive variations of the intensity, background, and the lateral and axial locations of single emitters, are impractical to cover experimentally. To this end, we simulate wavefront distortions by linearly combining the mirror deformations obtained experimentally in the SMLM system (Supplementary Note 4). We then use the coefficients of these experimental patterns to form the output of the network. The static residue of system aberration after optimizing the microscope system is also incorporated as the baseline of the wavefront shapes. This allows us
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 870, 202]]<|/det|>
+to efficiently generate millions of training PSFs based on experimentally measured wavefronts with highly accurate training ground truth (Supplementary Note 4, Supplementary Fig. 2, 3D normalized cross correlation (NCC) value of \(>0.95\) , comparing measured PSFs with those generated from network estimation).
+
+<|ref|>text<|/ref|><|det|>[[111, 225, 884, 598]]<|/det|>
+Compensating wavefront distortions inferred from PSFs of blinking molecules, we found that the network proposed mirror change fluctuates with non- vanishing uncertainty before/after each mirror update. This uncertainty increases with the network training range, resulting in a trade- off between the compensation range and stability (Fig. S51). To this end, we drive the deformable mirror by dynamically switching three networks trained with different aberration scales where the transitions between networks are based on the inference uncertainty (Supplementary Note 2.5). To stabilize network transitions, we employ Kalman filter34 (Supplementary Note 2.4 and 5) to reduce the estimation uncertainty by recursively combining wavefront measurements before and after each correction. Due to the uncontrollable availability of single molecule emission patterns with a high signal- to- background ratio and the evolving PSFs after each correction, this process weighs heavily on high precision measurements against the uncertain ones to ensure stable feedback from the network (Supplementary Figs. 5, 6).
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 620, 358, 639]]<|/det|>
+## 2. DL-AO characterization
+
+<|ref|>text<|/ref|><|det|>[[111, 653, 888, 896]]<|/det|>
+First, we characterized the response accuracy of DL- AO network using controlled wavefront distortions generated by the deformable mirror. These wavefront distortions resulted in aberrated emission patterns, which were then collected and sent to DL- AO network (Methods). By comparing the induced deformation amplitudes with those estimated by DL- AO, we observed that DL- AO network responded towards individual mirror deformations mostly in a one- to- one manner. And this behavior was consistently observed with both beads samples and blinking single molecules from immune- fluorescence- labeled cell specimens (Supplementary Figs. 4, 5, Fig. S52). At the same time, we also observed that DL- AO sensed changes in other mirror
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 87, 875, 620]]<|/det|>
+modes besides the one actually being changed, an expected behavior considering that mirror modes are coupled experimentally (Supplementary Note 3). Due to such coupling, mapping between the wavefront shape and mirror mode amplitudes is no longer unique, and therefore we further quantified the network response accuracy through wavefront shape errors and PSF similarities. We observed that independent measurements from DL- AO and phase retrieval \(^{13,35}\) using PSFs of fluorescent beads resulted in nearly identical wavefront shapes with a small difference of \(0.13 \pm 0.02\) rad (mean ± s.t.d, N=28) quantified in root mean square wavefront error \(^{33}\) (Wrms, Methods, Supplementary Fig. 4). Further, comparing the wavefronts estimated by DL- AO network using single molecule blinking data (100 PSFs) to that retrieved by phase retrieval from beads, we observed high similarities of \(0.83 \pm 0.06\) (mean ± s.t.d, N=28, normalized cross correlation), and a small wavefront difference of \(0.15 \pm 0.03\) rad (mean ± s.t.d, N=28) in Wrms (Supplementary Fig. 5). For the majority of our introduced distortions below 3 radians in Wrms, a single mirror update can already reduce the wavefront error by 50% (Fig. 2E, 2F, Supplementary Fig. 10). Caused by the nonlinear mirror deformation response to control input \(^{36}\), and the decreased network response amplitudes with the decreasing signal to noise level or the increasing network training range (Supplementary Figs. 5 and Fig. SS2), we observed that it usually requires 3- 20 mirror updates for full compensation.
+
+<|ref|>text<|/ref|><|det|>[[111, 641, 880, 885]]<|/det|>
+DL- AO aims to restore PSFs to the level unmodified by the specimen. To characterize DL- AO's capacity for PSF restoration, we introduced random wavefront distortions using the deformable mirror and compensated these distortions with DL- AO during SMLM experiments with immune- fluorescence- labeled TOM20 in COS- 7 cells. Visualizing the raw blinking data during the correction, we found the PSFs became less distorted even after a single compensation, and the mirror shape became stable after \(\sim 4\) mirror updates (Fig. 2A). Since PSFs from blinking molecules have limited photons and stochastic positions, making them challenging to quantify, we further verified the PSF shape post correction by axially scanning fluorescent beads nearby
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 87, 881, 225]]<|/det|>
+the compensation areas. Through phase retrieval, we found DL- AO results share a highly similar and flat wavefront shape with the instrument optimum (Methods, Supplementary Note 4), with a residual of \(0.29 \pm 0.12\) rad in \(\mathrm{W}_{\mathrm{rms}}\) (mean \(\pm\) s.t.d, N=11, Fig. 2B). Comparing the PSFs post DL- AO and the instrument optimum, high similarities of \(0.95 \pm 0.02\) (mean \(\pm\) s.t.d, N=11) were consistently achieved, quantified by 3D normalized cross correlation (Fig. 2B,
+
+<|ref|>text<|/ref|><|det|>[[111, 245, 875, 490]]<|/det|>
+Supplementary Fig. 8), and remained \(0.96 \pm 0.01\) (mean \(\pm\) s.t.d, N=11 in NCC) for distortion levels from 0.25 to 2.75 radians in \(\mathrm{W}_{\mathrm{rms}}\) (Supplementary Fig. 7). Often, this level of restoration was achieved with only 3- 6 mirror updates (Supplementary Fig. 8B), and a single mirror update from DL- AO network reduced the wavefront error by \(61.2\% \pm 24.2\%\) (mean \(\pm\) s.t.d, N=11). To drive each mirror update, as few as two sub- regions containing isolated single emitters were used for DL- AO network estimation, which spent an average of 0.1 second for forward propagation (Supplementary Table 3, Supplementary Fig. 8) and made DL- AO suitable for real- time compensation during SMLM acquisition.
+
+<|ref|>text<|/ref|><|det|>[[111, 512, 877, 888]]<|/det|>
+Next, we evaluated the robustness of DL- AO on compensating different levels of wavefront distortion, from 0.25 to 2.75 radians in \(\mathrm{W}_{\mathrm{rms}}\) , by assessing the residual wavefront error post correction using both simulation and single molecule blinking data. After one mirror update, we observed that \(51.9 \pm 9.3\%\) and \(64.3 \pm 12.8\%\) (mean \(\pm\) s.t.d, N = 165) of the induced level was compensated for experimental and simulated data, respectively (Fig. 2E- F). After 19 mirror updates, the residual level was \(0.32 \pm 0.02\) and \(0.08 \pm 0.03\) (mean \(\pm\) s.t.d, N=165) radians respectively for experimental and simulated data (Supplementary Fig. 10). This is a significant improvement, as compared to existing metric- based methods \(^{20 - 24}\) , for example, Robust and Effective Adaptive Optics in Localization Microscopy (REALM) \(^{24}\) , which works up to 1 radian at the expense of 10 mirror updates per aberration mode, requiring a total of 330 updates to compensate 11 aberration types (3 rounds) \(^{24}\) . In addition, metric- based AO is unstable when imaging volumetric cellular structures (Figs 2C, 2D, 2G, Supplementary Figs. 1, 11 and 12). A
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 875, 140]]<|/det|>
+detailed discussion and quantification of these intrinsic limitations of metric- based methods can be found in Supplementary Note 1.
+
+<|ref|>sub_title<|/ref|><|det|>[[112, 163, 748, 184]]<|/det|>
+## 3. DL-AO validation through constructed tissue and cell specimens.
+
+<|ref|>text<|/ref|><|det|>[[111, 195, 880, 376]]<|/det|>
+Inhomogeneous refractive indices within cells and tissues redirect and scatter light. In particular, the mismatches between refractive indices in sample media and objective immersion media reduce the shape modulation of the single molecule emission patterns axially and broaden the focus laterally (Fig. 2D), increasing the localization uncertainty in all directions and thus worsening the resolution of SMLM. Such resolution deterioration becomes more drastic with an increasing imaging depth13.
+
+<|ref|>text<|/ref|><|det|>[[110, 397, 883, 870]]<|/det|>
+Here, we demonstrate DL- AO's capacity in compensating significant index mismatch induced aberrations using constructed specimens from \(\sim 35 \mu \mathrm{m}\) to \(134 \mu \mathrm{m}\) in thickness with water- based imaging media. Imaging immune- fluorescence- labeled Tom20 in COS- 7 cells through such thickness without AO correction, the super resolution images of Tom20 proteins showed nearly no axial distributions (visualized by color differences, Fig. 3A, Supplementary Figs. 13A, 14A), a consequence of the severe lack of shape modulation along the axial direction due to the large imaging depth. While the raw data for both cases in the comparison were acquired in an interleaved manner without and with AO (Methods), DL- AO reconstruction showed the expected outer membrane contours of mitochondria, and without AO the reconstruction displayed significant artifacts (Fig. 3B, 3C). Zooming in on the lateral dimension, we observed the aggregations of Tom20 proteins, known to form clusters37, when aberrations were corrected by DL- AO. In comparison, without DL- AO, the lateral reconstruction of Tom20 distribution is diffusive (Fig. 3D, 3G), as a result of deteriorated lateral resolution through the large imaging depth. This resolution contrasts without and with DL- AO are consistently observed with different samples (Fig. 3E- G, Supplementary Figs. 13- 14).
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 88, 884, 528]]<|/det|>
+Next, we illustrate the mechanism behind such resolution improvement (Fig. 3H-K) by looking at the PSFs and pupil function, which summarizes how the sample together with optical system modulates the collected light, before and after AO. In comparison to the near uniform distribution of magnitude and phase in the pupil obtained from an in vitro bead, wavefront (phase in the retrieved pupil) showed significant radial variations and increased phase wrappings at large radial positions (Fig. 3H, Supplementary Figs. 13D, 14D). As a result, the PSFs at different axial positions throughout a 2 \(\mu \mathrm{m}\) axial range remained nearly invariant (Fig. 3J). Such loss of PSF shape modulation results in localization artifacts where identical axial positions are falsely assigned to molecules despite their axial distributions. In contrast, DL- AO restored the flatness of the wavefront, resulting in PSFs that are highly similar to the instrument optimum (Fig. 3H, 3J, Supplementary Figs. 13D, 14D). These improvements in PSF sharpness and modulation explain the resolution improvement post DL- AO (Fig. 3C, 3D, 3F, 3G, Supplementary Figs. 13C, 14C) and are further quantified statistically showing significantly increased Fisher information content per photon upon DL- AO correction (Fig. 3K).
+
+<|ref|>text<|/ref|><|det|>[[110, 545, 872, 821]]<|/det|>
+We further demonstrated DL- AO on arbitrary tissue- induced aberrations by imaging through 200- \(\mu \mathrm{m}\) thick unlabeled brain sections resolving membrane of mitochondria using immune- fluorescence- labeled Tom20 in COS- 7 cells (Fig. 4). Without DL- AO, our observation is consistent with those through water based cavities where the information of Tom20's axial distribution is lost even with in situ PSF model (Fig. 4A). Further deterioration is observed both laterally and axially (Fig. 4A, 4F) using in vitro PSF model with theoretical index mismatch aberration incorporated. With DL- AO, the 3D reconstruction shows improved resolution, where such improvement can be visualized laterally by the distinct Tom20 protein clusters and axially by the mitochondria membrane contours (Fig. 4B- E).
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[110, 88, 797, 110]]<|/det|>
+## 4. Resolving Amyloid-β (Aβ) fibrils through 125 μm mouse brain sections
+
+<|ref|>text<|/ref|><|det|>[[110, 120, 880, 884]]<|/det|>
+The 3D structures of amyloid- β (Aβ) fibrils are a focus of interest in the studies of Alzheimer's disease (AD) and are of particular importance with the success of amyloid- directed therapeutics38,39. Visualizing the formation and aggregation of these fibrils within the brain has been limited by the significant resolution loss when imaging through tissues. With DL- AO adaptively optimizing single molecule emission patterns during SMLM imaging, we can now clearly resolve the organization of immune- fluorescence- labeled β- amyloid fibrils in 125 μm thick brain sections from 5XFAD mice, a transgenic AD model that exhibits robust amyloid plaque pathology similar to that found in the human AD brain40 (Fig. 5). We imaged Aβ fibrils through these thick brain tissues without and with DL- AO in an interleaved manner. We observed improved resolution in both axial and lateral directions with DL- AO in comparison with that of no- AO (Fig. 5B). Importantly, driven by DL- AO, SMLM reconstruction revealed the 3D organization of individual amyloid fibrils entangling and forming the plaque. However, while without DL- AO, the resolution deteriorates, making the intricate fibril ultrastructure look like blurry clusters (Fig. 5B, 5C). In addition, inspection of the axially color- coded lateral images and axial cross- section revealed that the fibril structures in the axial direction were distorted and flattened without DL- AO. A similar phenomenon was observed in the presence of spherical aberrations in the previous evaluation of mitochondria membranes (Figs. 3, 4, 5B, 5C). Interestingly, with DL- AO, our reconstructed super- resolution images using in vitro or in situ PSF models revealed highly similar results, suggesting that DL- AO has restored the aberrated emission patterns approaching the instrument optimum. Combining DL- AO with INSPR, we imaged fibril structures in different plaque areas (Fig. 5D- I), and were able to consistently resolve individual fibrils and revealed their 3D arrangements within plaques at various stages (Fig. 5F- I). Measuring the width of Aβ fibrils in tissues, we obtained an averaged width of about \(52 \pm 9 \text{nm}\) (mean ± s.t.d, N = 30) and \(72 \pm 19 \text{nm}\) (mean ± s.t.d, N = 30) in lateral and axial
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 88, 845, 139]]<|/det|>
+cross- sections, respectively (Fig. 5J). We note that these measured fibril widths have slight variations among different imaged plaques.
+
+<|ref|>sub_title<|/ref|><|det|>[[112, 162, 787, 183]]<|/det|>
+## 5. Resolving dendritic spines through 150-250 μm mouse brain sections
+
+<|ref|>text<|/ref|><|det|>[[110, 191, 880, 900]]<|/det|>
+Using deep learning driven adaptive optics to correct sample induced aberrations, and in situ PSF model to perform super resolution reconstruction post- AO correction, we performed SMLM imaging through 150- 250 μm thick brain tissues resolving dendritic spines, the 300- 800 nm tiny protrusions from the dendrites whose morphology changes in response to neuronal activities associated with learning and memory41,42. Insufficient spatial resolution leads to an erroneous classification of spines43,44 due to their miniature sizes. The capacity to resolve spines' ultrastructure within their tissue environment is critical in detecting morphological changes in the same area of the functional measurements. This technological advancement will allow electrophysiological and morphological mapping of the same neural circuits linking functional and structural synaptic plasticity with animal behavior45. We imaged Thy1- ChR2- EYFP transgenic mice, expressing Channelrhodopsin- 2 enhanced yellow fluorescent protein (EYFP) fusion protein in cortical L5 Thy1+ pyramidal cells46. Through a 250- μm- thick brain section, we resolved the distinct membrane distribution of the fluorescently tagged target decorating the dendritic spines (Fig. 6, Supplementary Fig. 15). Throughout the resolved volume of spines, we can observe the membrane- bounded structures as hollow tubes and blobs (Fig. 6D). Besides, the very thin neck of spines can be clearly visualized (Fig. 6E, Supplementary Fig. 15), which provides more accurate information about the dimension of spines. We also imaged 150- μm- thick mouse brain sections (Fig. 6B, 6C), where thinner sections provide a better signal to background ratio. Interestingly, we observed a few occurrences where dendrite membranes labeled ChR2- EYFP appeared to be twisted in the final reconstructed images (Fig. 6C), which may represent a type of physical substrate for decreasing gain for synaptic inputs47,48. We obtained an average localization precision of 13 nm and 57 nm in lateral and axial dimensions
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 875, 234]]<|/det|>
+when imaging through the 250- μm- thick brain section, and 11- 52 nm (lateral- axial) precision when imaging through the 150- μm- thick brain section. The capacity to resolve and accurately quantify the shape and size of dendritic spines throughout large tissue thickness paves the way to link spine morphology and function and will facilitate studies of learning, memory, and brain disorders.
+
+<|ref|>sub_title<|/ref|><|det|>[[113, 291, 240, 309]]<|/det|>
+## DISCUSSION
+
+<|ref|>text<|/ref|><|det|>[[110, 312, 876, 850]]<|/det|>
+Combining the power of single molecule deep neural network with careful designs in network training, feedback, and instrument control, we demonstrated that DL- AO optimizes PSFs approaching the instrument optimum during SMLM experiments, and restores the resolution of 3D SMLM through \(>130 \mu \mathrm{m}\) depth of tissue. However, DL- AO requires at least two isolated and detectable PSFs to start compensation, and this requirement might be challenging to meet when the aberration level or imaging depth is significantly higher than the demonstrated cases where single molecule emissions are no longer identifiable. We also expect that further development in designing training data and neural network architecture will improve inference accuracy of DL- AO in an increasing compensation range, ultimately enabling single shot compensation during SMLM imaging. Additionally, the demonstrated DL- AO applications are limited by the working distance of the silicone- oil objective, and thus the imaging depth could potentially be extended when combined with long working distance objectives. To further improve the achievable resolution and imaging fidelity, we expect that DL- AO can be combined with light- sheet illumination49,50 for an increased signal to background ratio of single molecule detections, tissue clearing51 for labeling penetration and reduced aberration level, and expansion methods52 for further improved spatial resolution, thereby opening doors to observe nanoscale conformation in tissues and small animals.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[123, 90, 875, 344]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[112, 365, 883, 555]]<|/det|>
+Fig. 1: Deep learning driven adaptive optics for single molecule localization microscopy. Upon the acquisition of camera frames, detected single molecule emission patterns from stochastic lateral and axial positions are isolated and sent to a trained deep neural network. The network outputs a vector of mirror deformation-mode amplitudes, for each biplane detection of single molecule. The estimations pre-/post- each compensation are then combined through Kalman filter to drive the next deformable mirror update. ‘p’ and ‘q’ represent numbers of feature maps input and output to a residue block (the orange box). ‘N’ represents the image width/height. ‘s’ is stride size in a convolutional layer.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[115, 88, 875, 799]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[113, 808, 884, 900]]<|/det|>
+Fig. 2: Performance characterization of DL-AO. (A) Measurement and feedback flow for deformable mirror updates driven by deep neural network. Sub-regions are enlarged to show examples of PSF shapes from blinking molecules. (B) An example of PSFs, pupil phases and mirror mode coefficients before and after DL-AO, when compensating artificially induced
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 87, 888, 620]]<|/det|>
+aberrations. Compensations are performed in real time during SMLM experiments. PSFs are measured from 100- nm- diameter crimson beads nearby the compensation area post SMLM acquisition. (C) Comparison between DL- AO and metric- based AO on compensating sample induced distortion at bottom coverslip surface including PSF shapes and raw single molecule blinking frames. (D) Comparison between DL- AO and metric- based AO on compensating sample induced distortion at 134 μm from bottom coverslip surface in water- based media (n = 1.35) including PSF shapes and raw single molecule blinking frames. (E) Summary of repeated tests of DL- AO for compensating aberrations of different levels (in \(W_{rms}\) ) based on simulated SMLM blinking data. Each simulated SMLM frames contain 128×128 pixels, with pixel size of 119 nm. Number of PSFs per frame were generated from Poisson distribution with a mean of 13. Axial positions of molecules were generated from uniform distribution from - 1 to 1 μm range. The number of photon counts in each PSF was generated from exponential distribution with mean equal to 2500. The background photon counts in each frame was set to be 10. (F) Summary of repeated tests of DL- AO for compensating aberrations in different levels (in \(W_{rms}\) ) based on experimental blinking frames from immune- fluorescence- labeled Tom20 specimen. (G) Quantitative comparisons between PSFs measured under instrument optimum and those measured after DL- AO and metric- based AO using 3D normalized cross correlation (NCC). IMM stands for index mismatched specimens at 134 μm with refractive indices of sample media and immersion oil being 1.35 and 1.406 respectively measured by Abbe refractometer (334610, Thermo Scientific). The labels for x axis with ‘i- j’ format denote jth repeated tests for compensation at area i. PSFs in B- D and G are measured from 100- nm- diameter crimson beads nearby compensation areas. Scale bars in B- D and G are 3 μm.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[123, 88, 875, 787]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[113, 799, 864, 840]]<|/det|>
+Fig. 3: Demonstrations of DL-AO correcting index mismatch induced aberration by imaging Tom20 proteins in COS-7 cells through 134 μm water-based imaging media (A)
+
+<|ref|>text<|/ref|><|det|>[[113, 846, 844, 890]]<|/det|>
+3D SMLM reconstruction of Tom20 imaged through 134 μm water- based media without AO, then reconstructed with in situ PSF model (INSPR) (B) 3D SMLM reconstruction of Tom20
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 87, 884, 541]]<|/det|>
+340 imaged through 134 μm water- based media with DL- AO, then reconstructed with INSPR. (C) 341 Axial cross- section of region in A and B compared without and with DL- AO. (D) Enlarged 342 regions in A and B comparing cases without and with DL- AO. (E) 3D SMLM reconstruction of 343 Tom20 imaged through 134 μm water- based media with DL- AO, then reconstructed with INSPR. 344 (F) Axial cross- sections in A and B comparing cases without and with DL- AO combined with 345 reconstruction methods of either in vitro PSF model (PR) or in situ PSF models (INSPR). The 346 PR PSF model for no AO case was obtained from 100- nm- diameter crimson bead (referred to 347 as bead hereafter) next to the imaged area. The in vitro model for DL- AO was obtained from 348 beads at bottom coverslip surface. (G) Enlarged regions in A and B comparing cases without 349 and with DL- AO combined with reconstruction methods of either in vitro PR or INSPR. (H) 350 Cartoon of the constructed Tom20 specimen and visualization of pupil retrieved from beads at 351 top (No AO and DL- AO) and bottom (optimum) coverslip. (I) Raw blinking data (after converting 352 intensity readings in camera frames to approximate photon counts) of A and B compared 353 without and with DL- AO. Scale bar: 10 μm. (J) Comparison of measured PSFs at 134 μm 354 without and with DL- AO, in situ PSF models without and with DL- AO, and the instrument 355 optimum. Scale bar: 2 μm. (K) Fisher information content without and with DL- AO was 356 calculated based on PSF model built from beads nearby the imaged area. The values 357 correspond to PSFs with 1000 total photon counts and 10 background photons per pixel at axial 358 positions of - 1.5 μm to 1.5 μm.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[125, 92, 867, 744]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[111, 760, 870, 900]]<|/det|>
+Fig. 4: Demonstrations of DL-AO correcting sample induced aberrations by imaging Tom20 proteins in COS-7 cells through \(110\mu m\) unlabeled mouse brain section. (A) 3D SMLM reconstruction of Tom20 proteins imaged through unlabeled tissue without AO, reconstructed with in vitro PSF models: theoretical index mismatch model (PR, upper triangle) and in situ PSF models (INSPR, lower triangle). (B) Tom20 imaged through unlabeled tissue with DL-AO, reconstructed with in vitro PSF model (PR, upper triangle) and in situ PSF models
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 88, 868, 227]]<|/det|>
+(INSPR, lower triangle). (C) Axial cross-sections in A and B comparing cases without and with DL- AO. (D) Zoom- in regions in A and B comparing cases with and without DL- AO. (E) Axial cross- sections along the dashed line in A and B. (F) Comparisons of PSFs and their pupil functions. The theoretical index mismatch model is based on a measured refractive index of 1.35 for sample media, which is measured by Abbe refractometer (334610, Thermo Scientific). Scale bar: \(2 \mu \mathrm{m}\) . Color code in A- E indicates axial positions.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[125, 93, 870, 914]]<|/det|>
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 90, 876, 540]]<|/det|>
+Fig. 5: 3D reconstruction of immune- fluorescence- labeled amyloid- \(\beta\) fibrils in 125 \(\mu \mathrm{m}\) brain sections of 7.5- month- old 5XFAD female mouse. (A) Amyloid- \(\beta\) fibrils imaged using SMLM with DL- AO and reconstructed with in situ PSF model (INSPR) at 85 \(\mu \mathrm{m}\) from coverslip surface. Color code indicates axial positions of single molecule localizations (B) Sub- regions and cross- sections in A showing comparisons of A \(\beta\) fibrils imaged without and with DL- AO, reconstructed with either in vitro PSF model (PR) or in situ PSF models (INSPR) (C) Comparison between without and with AO, where without AO data are reconstructed using in vitro PR and AO data used INSPR reconstruction. (D, E) A \(\beta\) fibrils imaged with DL- AO and reconstructed with INSPR at 51 \(\mu \mathrm{m}\) and 67 \(\mu \mathrm{m}\) from coverslip surface. (F) Region in D comparing cases without and with DL- AO. (G) Axial cross- sections in D comparing without and with DL- AO. (H) Regions in E compared cases without and with DL- AO. (I) Axial cross- sections in E comparing cases without and with DL- AO. (J) Measurements of fibril widths in lateral and axial cross- sections in A, D, E. (K) Comparison between intensity profiles along white line in C without and with DL- AO. (L) Comparison between intensity profiles along white line in G without and with DL- AO. 'norm. I.' in K and L stands for normalized intensity, where intensity in reconstructed image reflects counts of localized single molecules. The imaged structures were found at depths near the axial limit of tissue thicknesses. Optically measured tissue thicknesses vary among samples, which might be caused by variations in media volume between bottom and top coverslips.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[123, 95, 880, 662]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[112, 680, 875, 893]]<|/det|>
+Fig. 6: 3D SMLM reconstruction dendrites and spines in immune-fluorescence-labeled Thy1-ChR2-EYFP in 150-250 \(\mu \mathrm{m}\) brain sections of 7-week-old mice. (A) Super-resolution reconstruction of Thy1-ChR2-EYFP using SMLM with DL-AO through a 250-μm-cut brain section. (B, C) Super-resolution reconstructions of Thy1-ChR2-EYFP using SMLM with DL-AO through 150-μm-cut brain sections. (D) Axial cross-sections identified spines in A, B, C. (E) Identified spines in A-C, and the corresponding size measurements of their necks and heads. 'Norm. I.' stands for normalized intensity, where intensity in reconstructed image reflects counts of localized single molecules. 'dist.' stands for distance. The histograms show the raw intensity counts along the lines indicated by white arrows in E. Sizes are measured at the full widths at
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 880, 180]]<|/det|>
+the half maximum intensity. Color code indicates axial positions. White arrows in A- C point towards identified spines. The imaged structures were found at depths near the axial limit of tissue thicknesses. Optically measured tissue thicknesses vary among samples, which might be caused by variations in media volume between bottom and top coverslips.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[115, 93, 224, 112]]<|/det|>
+## References
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+520 Principles and Applications. Annu. Rev. Biophys 47, 355–376 (2018).
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+521 52. Boyden, E. S., Zhang, F., Bamberg, E., Nagel, G. & Deisseroth, K. Millisecond-timescale, genetically targeted optical control of neural activity. Nat. Neurosci. 8, 1263–1268 (2005).
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[115, 90, 287, 107]]<|/det|>
+## Acknowledgements
+
+<|ref|>text<|/ref|><|det|>[[111, 115, 880, 295]]<|/det|>
+We would like to thank Fan Xu for suggestions on PSF segmentation and super resolution reconstruction process (current address Beijing Institute of Technology). We would like to thank Sheng Liu for suggestions on phase retrieval algorithm and PSF generation process (current address European Molecular Biology Laboratory). We thank Yue Zheng, Purdue University for suggestions on the manuscript. This work was supported by the US National Institutes of Health (grants GM119785 to F.H., MH123401 to F.H. and A.A.C. and RF1AG074566 to G.E.L).
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 346, 297, 363]]<|/det|>
+## Author contributions
+
+<|ref|>text<|/ref|><|det|>[[111, 371, 886, 584]]<|/det|>
+P.Z. and F.H. conceived the project and designed the experiments for DL- AO characterization. P.Z. developed the DL- AO workflow, wrote the DL- AO instrument control, performed experiments and analyzed the data. D.M. developed the microscope setup. P.Z., D.M. and H.G. performed and optimized deformable mirror calibration. X.C. and A.P.T. optimized staining procedure for tissue specimens. P.Z., X.C., A.P.T., Y.T., L.F., C.B., A.A.C. and F.H. designed the experiments and prepared biological samples. G.E.L., A.A.C., and F.H. supervised the study. All authors wrote the manuscript.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[115, 95, 199, 113]]<|/det|>
+## Methods
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 128, 556, 148]]<|/det|>
+## Preparation of fluorescent beads on coverslips
+
+<|ref|>text<|/ref|><|det|>[[111, 160, 883, 599]]<|/det|>
+We cleaned 25- mm- diameter coverslips (CSHP- No1.5- 25, Bioscience Tools) successively in ethanol (2701, Decon) and HPLC- grade water (W5- 4, Fisher Chemical) for three times and then dried them with compressed air. To promote fluorescent beads adhesion on coverslip, 200 μL of poly- l- lysine solution (P4707, Sigma- Aldrich) was added to one coverslip and incubated for 20 min at room temperature (RT). Following poly- l- lysine treatment, the coverslip was subsequently rinsed with deionized water. For beads incubation, we first diluted 100- nm- diameter crimson beads (custom- designed, Invitrogen) to 1: 1,000,000 in deionized water. Then we added 200 μL of the diluted bead solution to the center of the coverslip and incubated for 20 min at RT. The coverslip was subsequently rinsed with deionized water. The treated coverslip was placed on a custom- made holder6, and 20 μL of 38% 2,2'- thiodiethanol (166782, Sigma- Aldrich) in 1× PBS (10010023, Gibco) was added to its center. Another 25- mm- diameter coverslip (also cleaned by using the above protocol) was placed on top of this coverslip. This coverslip sandwich was sealed with two- component silicone dental glue (Twinsil speed 22, Dental- Produktions und Vertriebs GmbH).
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 625, 225, 643]]<|/det|>
+## Cell culture
+
+<|ref|>text<|/ref|><|det|>[[112, 657, 880, 774]]<|/det|>
+COS- 7 cells (CRL- 1651, ATCC) were grown on coverslips placed in six- well plates and cultured in DMEM (30- 2002, ATCC) with 10% FBS (30- 2020, ATCC) and 1% penicillin- streptomycin (15140122, Gibco) at 37 °C with 5% CO2. The cells are passaged when their confluence reaches 80%. And the cells were fixed for imaging when their confluence reaches about 30%.
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 802, 543, 822]]<|/det|>
+## Fixation and labeling of Tom20 in COS-7 cells
+
+<|ref|>text<|/ref|><|det|>[[112, 835, 839, 886]]<|/det|>
+Cultured cells were first fixed with 37 °C pre- warmed 3% Formaldehyde aqueous solution (diluted in 1× PBS from 16% Formaldehyde aqueous solution, 15710, Electron Microscopy
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 87, 884, 558]]<|/det|>
+Sciences) and \(0.5\%\) Glutaraldehyde aqueous solution (diluted in \(1\times\) PBS from \(8\%\) Glutaraldehyde aqueous solution, 16019, Electron Microscopy Sciences), with gently rocking at room temperature (RT) for \(15\min\) . After fixation, cells were rinsed twice with \(1\times\) PBS and then quenched for \(7\min\) with freshly prepared \(0.1\%\) NaBH4 (452882, Sigma- Aldrich) in \(1\times\) PBS. The cells were rinsed three times with \(1\times\) PBS and blocked with solution containing \(3\%\) BSA (001- 000- 162, Jackson ImmunoResearch) and \(0.2\%\) Triton X- 100 in \(1\times\) PBS, with gently rocking at RT for \(1\mathsf{h}\) . After blocking, the cells were incubated at \(4^{\circ}C\) overnight with primary antibody (sc- 11415, Santa Cruz Biotechnology), 1:500 diluted in antibody dilution buffer ( \(1\%\) BSA and \(0.2\%\) Triton X- 100 in \(1\times\) PBS). We then washed cells three times with \(5\min\) each time in \(0.05\%\) Triton X- 100 in \(1\times\) PBS, and incubated cells at RT for \(5\mathsf{h}\) with secondary antibody (A21245, Invitrogen, for Alexa Fluor 647), 1:500 diluted in antibody dilution buffer ( \(1\%\) BSA and \(0.2\%\) Triton X- 100 in \(1\times\) PBS). After being washed three times with \(5\min\) each time in \(0.05\%\) Triton X- 100 in \(1\times\) PBS, cells were post- fixed with \(4\%\) Formaldehyde aqueous solution (1:4 diluted with \(1\times\) PBS from \(16\%\) Formaldehyde aqueous solution, Electron Microscopy Sciences) at RT for \(10\min\) . Cells were then rinsed three times with \(1\times\) PBS and stored in \(1\times\) PBS at \(4^{\circ}C\) .
+
+<|ref|>sub_title<|/ref|><|det|>[[113, 583, 666, 604]]<|/det|>
+## Fixation and labeling of amyloid- \(\beta\) in mouse-brain sections
+
+<|ref|>text<|/ref|><|det|>[[111, 616, 860, 826]]<|/det|>
+The 5xFAD Alzheimer's disease (AD) mouse model was used for immunostaining amyloid \(\beta\) . Mice were maintained on the C57BL/6J (B6) background, which were purchased from the Jackson Laboratory (JAX MMRRC Stock# 034848). The 5xFAD transgenic mice overexpress the following five familial Alzheimer's disease (FAD) mutations under control of the Thy1 promoter: the APP (695) transgene containing the Swedish (K670N, M671L), Florida (I716V), and London (V7171) mutations, and the PSEN1 transgene containing the M146L and L286V FAD mutations33.
+
+<|ref|>text<|/ref|><|det|>[[111, 850, 884, 902]]<|/det|>
+Up to five mice were housed per cage with SaniChip bedding and LabDiet® 5K52/5K67 ( \(6\%\) fat) feed. The colony room was kept on a 12:12 h light/dark schedule with the lights on from 7:00 am
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 88, 850, 139]]<|/det|>
+to 7:00 pm daily. The mice were bred and housed in specific- pathogen- free conditions. Only female mice were used.
+
+<|ref|>text<|/ref|><|det|>[[110, 161, 876, 365]]<|/det|>
+Mice were euthanized by perfusion with ice- cold phosphate- buffered saline (PBS) following full anesthetization with Avertin® (125- 250 mg/kg intraperitoneal injection)53. Animals used in the study were housed in the Stark Neurosciences Research Institute Laboratory Animal Resource Center, Indiana University School of Medicine. All animals were maintained, and experiments performed in accordance with the recommendations in the Guide for the Care and Use of Laboratory Animals of the National Institutes of Health. The protocol was approved by the Institutional Animal Care and Use Committee (IACUC) at Indiana University School of Medicine.
+
+<|ref|>text<|/ref|><|det|>[[110, 392, 879, 767]]<|/det|>
+Perfused brains from mice at 7.5 months of age were fixed in \(4\%\) formaldehyde in aqueous solution (1:4 diluted with \(1 \times\) PBS from \(16\%\) Formaldehyde Aqueous Solution, Electron Microscopy Sciences) for \(24 \text{h}\) at \(4^{\circ}\text{C}\) . Following fixation, brains were cryoprotected in \(30\%\) sucrose at \(4^{\circ}\text{C}\) , and then cut into sections of \(150 \mu \text{m}\) by a vibratome (7000smz- 2, Campden Instruments). For immunostaining, free- floating sections were washed and permeabilized with \(0.1\%\) Triton X- 100 in \(1 \times\) PBS (PBST), and antigen retrieval was subsequently performed using \(1 \times\) Reveal Decloaker (Biocare Medical) at \(85^{\circ}\text{C}\) for \(10 \text{min}\) . Sections were blocked in \(5\%\) normal donkey serum (D9663 Sigma- Aldrich) in PBST for \(1 \text{h}\) at RT. The sections were then incubated with \(\beta\) - Amyloid Antibody (Cell Signaling Technology #2454, rabbit), \(1:1000\) diluted in \(5\%\) normal donkey serum in PBST at \(4^{\circ}\text{C}\) overnight. Sections were washed and stained for \(1 \text{h}\) at RT with secondary antibody (A31573, Invitrogen, for Alexa Fluor 647) diluted at \(1:1000\) in \(5\%\) normal donkey serum in PBST54.
+
+<|ref|>sub_title<|/ref|><|det|>[[112, 795, 760, 816]]<|/det|>
+## Fixation and labeling of Thy1+ pyramid cells in mouse brain sections
+
+<|ref|>text<|/ref|><|det|>[[112, 828, 860, 879]]<|/det|>
+To obtain mice expressing the proper amount of ChR2- EYFP in Thy1+ pyramidal cells, the litters of Thy1- ChR2- EYFP (B6. Cg- Tg (Thy1- COP4/EYFP)18Gfng/J, Jackson Lab) cross with
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 880, 500]]<|/det|>
+B6 (C57BL/6, Jackson Lab) were used for the labeling. To extract the brains for sectioning, the litters of seven- week- old were first anesthetized by intraperitoneal injections of a mix of 90 mg/kg ketamine (59399- 114- 10, Akron) and 10 mg/kg xylazine (343750, HVS). After confirmation of deep anesthesia, the abdomen was open to expose the diaphragm. The chest cavity was then opened by cutting through the diaphragm and ribs to expose the heart. The trans- cardiac perfusion was performed by inserting the needle into the left ventricle and a small incision at the right atrium. Mice were perfused with \(1 \times\) PBS (1:10 diluted from DSP32060, Dot Scientific). After the liver was pale, mice were continuously perfused with \(4\%\) Formaldehyde Aqueous Solution (1:8 diluted with \(1 \times\) PBS from \(32\%\) Formaldehyde Aqueous Solution, Electron Microscopy Sciences) to pre- fix the brain until the muscle turned stiff. Brains were carefully collected and placed in \(4\%\) Formaldehyde Aqueous Solution to post- fix at \(4^{\circ} \mathrm{C}\) overnight. The fixed brains were trimmed for coronal slicing. The trimmed brains were fixed and cut into sections of \(150 \mu \mathrm{m}\) , \(200 \mu \mathrm{m}\) and \(250 \mu \mathrm{m}\) by a vibratome (1000 Plus, TPI Vibratome).
+
+<|ref|>text<|/ref|><|det|>[[111, 513, 877, 758]]<|/det|>
+The brain sections were washed three times, 15 min for each time, in wash buffer (0.1% Triton X- 100 in \(1 \times\) PBS) with a gentle shake (120 rpm, Orbi- Shaker, Benchmark), and then were incubated in blocking butter (5% BSA (A9647, Sigma- Aldrich) in \(1 \times\) PBS) for 1.5 h with a gentle shake. The blocked brain sections were incubated with chicken anti- GFP antibody (ab13970, Abcam, diluted to 1:1,000 in blocking buffer) at \(4^{\circ} \mathrm{C}\) overnight. After being washed three times in the wash buffer as in the first step, the slices were incubated with goat anti- chicken Alexa Fluor 647- conjugated antibody (A21449, Invitrogen, diluted to 1:600 in wash buffer) at room temperature for 2 h with a gentle rocking.
+
+<|ref|>text<|/ref|><|det|>[[112, 779, 840, 896]]<|/det|>
+All animals were maintained, and experiments performed in accordance with the recommendations in the Guide for the Care and Use of Laboratory Animals of the National Institutes of Health. The protocol was approved by the Institutional Animal Care and Use Committee (IACUC) at Purdue University.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[112, 89, 558, 110]]<|/det|>
+## Imaging buffer and sample mounting for SMLM
+
+<|ref|>text<|/ref|><|det|>[[111, 120, 880, 496]]<|/det|>
+Immediately before SMLM imaging, the coverslip with specimens on top was placed on a custom- made holder6. Imaging buffer55 (10% (wt/vol) glucose in 50 mM Tris, 50 mM NaCl, 10 mM MEA, 50 mM BME, 2 mM COT, 2.5 mM PCA and 50 nM PCD, pH 8.0) was added to the coverslip. Then another cleaned coverslip was placed on top of the imaging buffer. This coverslip sandwich was sealed with two- component silicone dental glue. Samples with immune- fluorescence- labeled cells on the top coverslips were prepared as described below: 200 μL of poly- l- lysine solution was added to the bottom coverslip, incubated for 20 min and subsequently rinsed with deionized water. Then 20 μL of microsphere suspension (134 μm in diameter, 7640A, Thermo Scientific) was spread around the outer ring area of the coverslip, and incubated at RT until the coverslip was dried. Then we placed this coverslip with microspheres at the bottom, added 50- 80 μL imaging buffer without touching the microspheres, and added the coverslip with cells on top of it, with the cell- side surface facing down.
+
+<|ref|>sub_title<|/ref|><|det|>[[114, 523, 285, 543]]<|/det|>
+## Microscope setup
+
+<|ref|>text<|/ref|><|det|>[[111, 555, 868, 896]]<|/det|>
+All experimental data were recorded on a custom- designed SMLM setup built around an Olympus IX- 73 microscope stand (Olympus America). This system is equipped with a \(100\times /1.35\) - NA (numerical aperture) silicone oil- immersion objective lens (UPLSAPO100XS, Olympus America), a PIFOC objective positioner (ND722ZLAQ, Physik Instrumente), a three- axis piezo nano- positioning systems (Nano- LP100, Mad City Labs) and a manual XY stage (MicroStage- LT, Mad City Labs Inc.). A continuous- wave laser at wavelength of 642 nm (2RU- VFL- P- 2000- 642- B1R, MPB Communications) was coupled into a polarization- maintaining single- mode fiber (PM- S405- XP, Thorlabs) after passing through an acousto- optic tunable filter (AOTFnC- 400.650- TN, AA Opto- electronic) for power modulation. The excitation light coming out of the fiber was focused to the pupil plane of the objective lens after passing through a filter cube holding a quadband dichroic mirror (Di03- R405/488/561/635- t1, Semrock). The emission
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 87, 880, 364]]<|/det|>
+fluorescence was split with a 50/50 non- polarizing beam splitter (BS016, Thorlabs) mounted on a kinematic base (KB25/M, Thorlabs). The separated fluorescent signals were delivered by two mirrors onto a \(90^{\circ}\) specialty mirror (47- 005, Edmund Optics), passed through a band- pass filter (FF01- 731/137- 25), and were then projected on an sCMOS camera (Orca- Flash4.0v3, Hamamatsu) with an effective pixel size of \(119\mathrm{nm}\) on the sample plane. The detection planes that received the signals transmitted and reflected by the beam splitter were referred to as plane 1 and plane 2, respectively. The pupil plane of the objective lens was imaged onto a deformable mirror (Multi- 3.5, Boston Micromachines). The imaging system was controlled by a custom- written program in LabVIEW (National Instruments).
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 392, 519, 411]]<|/det|>
+## Measurement of mirror deformation modes
+
+<|ref|>text<|/ref|><|det|>[[110, 423, 875, 764]]<|/det|>
+The experimental mirror deformation modes25 (Supplementary Note 1) were measured using fluorescent bead sample described above. We introduced a positive and a negative (unit amplitude) mirror changes for each of the 28 mirror deformation modes. For each mirror shape setting, we acquired PSFs at z positions from \(- 1.5\mu \mathrm{m}\) to \(1.5\mu \mathrm{m}\) , with a step size of \(100\mathrm{nm}\) , a frame rate of \(10\mathrm{Hz}\) , and 3 frames per z position. Pupil phase was extracted through phase retrieval algorithm for each mirror change. To obtain the experimental mirror deformation bases without the influences of instrument or sample induced aberrations, we calculated the differences of the retrieved pupil phases between the positive and negative unit changes of mirror modes and divided them by two. The actual distortion level introduced by each experimental mirror mode is quantified through root mean square wavefront error28 (Methods, Supplementary Note 3).
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 794, 463, 813]]<|/det|>
+## Measurement of instrument optimum
+
+<|ref|>text<|/ref|><|det|>[[112, 826, 881, 877]]<|/det|>
+We define instrument optimum as the status where optical hardware was optimized to limit the inherent system aberrations. To obtain this optimized status, we followed a previously described
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 87, 880, 816]]<|/det|>
+method6, where the deformable mirror was adjusted as follows. Starting from the flat voltage map (provided by the manufacturer) of the deformable mirror, 28 mirror modes (Fig. SS4) were applied sequentially. For each mirror mode, 11 different amplitudes were applied while recording the corresponding fluorescence signal from an in- focus 100- nm crimson bead sample. To extract the fluorescence signal from individual beads, the symmetry center of each imaged bead was obtained using the radial symmetry method56. Subsequently, a symmetric 2D Gaussian was generated at the symmetry center and was multiplied by the isolated emission pattern from the fluorescent bead, generating a Gaussian- masked image, and then the total intensity of the masked image was calculated to extract the center peak signal of the beads in focus. For each mirror mode, images of the bead were acquired at 11 different mirror mode amplitudes and the corresponding center peak signals of the bead were extracted as described above. The optimal amplitude (i.e. the amplitude providing the highest center peak signal from the beads) was determined from a quadratic fit of these 11 signal measurements vs. mirror mode amplitudes. After identifying optimal amplitudes for each of the 28 modes, these amplitudes were added to the flat voltage map (provided by the manufacturer), serving as the starting point for another iteration. This iterative process was repeated five times to achieve optimal system aberration correction. PSFs under instrument optimum were measured using fluorescent beads sample described above. Data were acquired at a series of z positions from – \(1.5 \mu m\) to \(1.5 \mu m\), with a step size of \(100 nm\), a frame rate of \(10 Hz\), and 3 frames per z position. Phase retrieval algorithm was then performed on the bead stack to obtain the pupil function under instrument optimum. The instrument optimum can be further verified by decomposing the pupil phase into Zernike mode12 and checking whether the absolute values of first 64 Zernike coefficients (Wyant order28) are smaller than \(0.2 \lambda /2\pi\).
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[113, 89, 525, 109]]<|/det|>
+## Calculation of mean square wavefront error
+
+<|ref|>text<|/ref|><|det|>[[112, 122, 882, 305]]<|/det|>
+The root mean square wavefront errors \((W_{rms})\) were calculated by the root mean square among all pixels within in the image of pupil phase angle. \(W_{rms}\) for experimental wavefronts were either calculated using the pupil phase obtained by phase retrieval from fluorescent beads (Fig. SS4), or calculated using the wavefront images composed of linear combination of experimental mirror deformation modes as estimated by DL- AO (Fig. 2E, 2F, Supplementary Figs. 4, 7- 9, 12, 13, 15).
+
+<|ref|>sub_title<|/ref|><|det|>[[113, 333, 825, 354]]<|/det|>
+## Measurement of network responses to individual mirror deformation modes
+
+<|ref|>text<|/ref|><|det|>[[112, 367, 877, 673]]<|/det|>
+The aberrated PSFs for characterizing network responses (Supplementary Figs. 7- 9) were measured using either Tom20 specimens or fluorescent bead samples described above. The samples were first excited with the 642- nm laser at a low intensity of \(\sim 50 \text{W / cm}^2\) to find regions of interest. Then data containing single molecule blinking events were collected at a laser intensity of \(2 - 6 \text{kW / cm}^2\) and a frame rate of \(50 \text{Hz}\) . The aberrated PSFs from the fluorescent bead samples were measured the same way as we measured PSFs under instrument optimum. A set of PSF measurements were performed under positive and negative unit changes of each mirror deformation mode, the differences of network output between positive and negative mirror changes were calculated and divided by two to be the final response vector for each mirror deformation mode.
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 703, 397, 722]]<|/det|>
+## SMLM acquisition with DL-AO
+
+<|ref|>text<|/ref|><|det|>[[112, 735, 884, 885]]<|/det|>
+In SMLM data acquisition, the fluorescently labeled samples were first excited with a 642- nm laser at a low intensity of \(\sim 50 \text{W / cm}^2\) to find a region of interest. Imaging depths of mitochondria specimens were measured by the differences of PIFOC readings between the apparent focus of the region- of- interest and the bottom coverslip surface. The imaging depths for immune- fluorescence- labeled tissue specimens were measured by the differences of PIFOC readings
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 85, 881, 752]]<|/det|>
+between apparent focuses of the region- of- interest and the fluorescent signal closest to bottom coverslip surface. Before SMLM experiments, bright- field images of this region were recorded over an axial range from \(- 1\) to \(+1 \mu \mathrm{m}\) with a step size of \(100 \mathrm{nm}\) as reference images for focus stabilization \(^{57}\) . Then the blinking data were collected at a laser intensity of \(2 - 6 \mathrm{kW / cm^2}\) and a frame rate of \(50 \mathrm{Hz}\) , where the first \(\sim 3 - 20\) cycles were used for DL- AO, with 20- 100 frames per cycle. In the case where significant background photons were observed ( \(\sim 100\) per pixel per frame), a temporal median filter was used to estimate structured background for each pixel. This background map was subtracted from each camera frame before the frames are segmented into sub- regions for DL- AO processing. After DL- AO correction, 2000 frames were collected per cycle, and 20- 120 cycles (50000- 236000 frames, Supplementary Table 2) were collected per imaging area. For the interleaved SMLM imaging without and with AO, deformable mirror shape was set to switch between DL- AO compensated shape and the shape used for instrument optimum (Methods) per imaging cycle (2000 frames). Acquisition of no- AO data was performed first in the interleaved sequence for fair comparison. Upon each switch between no- AO and DL- AO acquisitions, PIFOC objective positioner was moved to compensate apparent focal shift in the case of index mismatch induced aberration \(^{58}\) . The focal shifts were determined by an estimated linear relationship between the apparent focus shift and the amplitudes of two radially symmetric mirror deformation modes. The shifts per unit amplitude changes were empirically estimated to be \(- 0.3 \mu \mathrm{m}\) for mirror mode 5 and \(- 0.2 \mu \mathrm{m}\) for mirror mode 15 (Fig. SS4). Here, a negative movement of PIFOC objective positioner corresponds to shifting the imaging plane closer to the bottom coverslip surface.
+
+<|ref|>sub_title<|/ref|><|det|>[[113, 779, 648, 799]]<|/det|>
+## Structure size quantification in the reconstructed images
+
+<|ref|>text<|/ref|><|det|>[[113, 812, 880, 896]]<|/det|>
+The neck sizes of dendritic spines are measured as follows. First we selected a profile line at the location where measurement is to be made. A rectangular box was then cropped along the line, with its width ranging from 50- 500 nm (depending on the spine neck length and the number
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 884, 459]]<|/det|>
+of localizations). The localization result inside this rectangular box was isolated and rendered into an image with 3 nm pixel size. Each point in the rendered image is blurred with a Gaussian kernel of 3 pixels in width. Intensity profile was generated along the profile line by sum projection and subsequently the histogram was normalized by dividing its maximum value. The spine neck sizes were calculated by the full width at the half maximum of the intensity histogram. Spine head sizes were measured the same way as that for the spine necks. The Amyloid \(\beta\) fibrils' widths were measured the same way as that for the spine necks, except for a Gaussian function was used to fit the line profile ('fit', Curve Fitting Toolbox 2020a, MATLAB R2020a, The MathWorks, Inc.), with Gaussian function switched between 'gauss1' (single Gaussian fit) and 'gauss2' (two Gaussians) depending on the number of peaks observed in intensity histogram. The half width at the half maximum of the fitted Gaussian curve is treated as the width of each fibril.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[115, 94, 325, 113]]<|/det|>
+## Additional References
+
+<|ref|>text<|/ref|><|det|>[[111, 126, 870, 178]]<|/det|>
+53. Tsai, A. P. et al. PLCG2 is associated with the inflammatory response and is induced by amyloid plaques in Alzheimer's disease. Genome Med. 14, 1-13 (2022).
+
+<|ref|>text<|/ref|><|det|>[[111, 200, 867, 253]]<|/det|>
+54. Tsai, A. P. et al. INPP5D expression is associated with risk for Alzheimer's disease and induced by plaque-associated microglia. Neurobiol. Dis. 153, 105303 (2021).
+
+<|ref|>text<|/ref|><|det|>[[111, 274, 824, 328]]<|/det|>
+55. Olivier, N., Keller, D., Gönczy, P. & Manley, S. Resolution Doubling in 3D-STORM Imaging through Improved Buffers. PLoS One 8, 1-9 (2013).
+
+<|ref|>text<|/ref|><|det|>[[111, 349, 840, 402]]<|/det|>
+56. Parthasarathy, R. Rapid, accurate particle tracking by calculation of radial symmetry centers. Nat. Methods 9, 724-726 (2012).
+
+<|ref|>text<|/ref|><|det|>[[111, 423, 803, 476]]<|/det|>
+57. Mcgorty, R., Kamiyama, D. & Huang, B. Active microscope stabilization in three dimensions using image correlation. Opt. Nanoscopy 2, 1-7 (2013).
+
+<|ref|>text<|/ref|><|det|>[[111, 497, 870, 550]]<|/det|>
+58. Petrov, P. N. & Moerner, W. E. Addressing systematic errors in axial distance measurements in single-emitter localization microscopy. Opt. Express 28, 18616 (2020).
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[44, 43, 311, 71]]<|/det|>
+## Supplementary Files
+
+<|ref|>text<|/ref|><|det|>[[44, 93, 765, 113]]<|/det|>
+This is a list of supplementary files associated with this preprint. Click to download.
+
+<|ref|>text<|/ref|><|det|>[[60, 130, 434, 178]]<|/det|>
+- 20220523DLAOSupplementssubmit.pdf- SupplementaryVideos.zip
+
+<--- Page Split --->
diff --git a/preprint/preprint__02f73dadd2b3fa85ae81c3b9b484d3e6b803890aee745942b0f2b11bf51047a9/images_list.json b/preprint/preprint__02f73dadd2b3fa85ae81c3b9b484d3e6b803890aee745942b0f2b11bf51047a9/images_list.json
new file mode 100644
index 0000000000000000000000000000000000000000..9239a8ec562d77bbaa2c243e7c89aa3caef81cb6
--- /dev/null
+++ b/preprint/preprint__02f73dadd2b3fa85ae81c3b9b484d3e6b803890aee745942b0f2b11bf51047a9/images_list.json
@@ -0,0 +1,122 @@
+[
+ {
+ "type": "image",
+ "img_path": "images/Figure_1.jpg",
+ "caption": "Figure 1: The framework of HelixFold-Single with a protein language model as PLM Base, the compose of EvoFormer and Structure Module of AlphaFold2 as Geometric Modeling, and Adaptor to connect PLM Base and Geometric Modeling.",
+ "footnote": [],
+ "bbox": [
+ [
+ 117,
+ 88,
+ 880,
+ 310
+ ]
+ ],
+ "page_idx": 3
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_2.jpg",
+ "caption": "Figure 2: Overall comparison of HelixFold-Single and other methods on CASP14 and CAMEO. AlphaFold2 (input:MSA) and RoseTTAFold (input:MSA) are MSA-based methods, while the remaining use the primary structures as input.",
+ "footnote": [],
+ "bbox": [
+ [
+ 137,
+ 88,
+ 861,
+ 285
+ ]
+ ],
+ "page_idx": 5
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_3.jpg",
+ "caption": "Figure 3: Analysis of the impact of homologous sequences (MSA depths) and investigation of the relations between MSA depths, TM-scores, and perplexity of the PLM.",
+ "footnote": [],
+ "bbox": [
+ [
+ 123,
+ 88,
+ 871,
+ 500
+ ]
+ ],
+ "page_idx": 6
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_4.jpg",
+ "caption": "Figure 4: Comparison of PLMs of different sizes.",
+ "footnote": [],
+ "bbox": [
+ [
+ 120,
+ 540,
+ 876,
+ 693
+ ]
+ ],
+ "page_idx": 6
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_5.jpg",
+ "caption": "Figure 5: Median times of MSA search, AlphaFold2, and HelixFold-Single on proteins with various lengths.",
+ "footnote": [],
+ "bbox": [
+ [
+ 305,
+ 223,
+ 690,
+ 400
+ ]
+ ],
+ "page_idx": 7
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_6.jpg",
+ "caption": "Figure 6: HelixFold-Single predicts PlyC and RoxP structure more accurately than AlphaFold2. PlyC structures predicted by (a) AlphaFold2 and (b) HelixFold-Single is aligned with the reference structure (PDB ID: 7KWT, chain B); RoxP structure predicted by (c) AlphaFold2 and (d) HelixFold-Single is aligned with the reference structure (PDB ID: 7BCJ, chain A). A-D) Green: structure predicted by AlphaFold2. Magentas: structure predicted by HelixFold-Single. Cyan: reference crystal structure measured by X-RAY diffraction approach (resolution<1.8A). Key residues related to protein function are shown as sticks.",
+ "footnote": [],
+ "bbox": [
+ [
+ 110,
+ 612,
+ 884,
+ 760
+ ]
+ ],
+ "page_idx": 7
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_7.jpg",
+ "caption": "Figure 7: Architecture of DisentangledAttentionTransformer (superscript \\(k\\) denotes the layer id).",
+ "footnote": [],
+ "bbox": [
+ [
+ 397,
+ 250,
+ 600,
+ 418
+ ]
+ ],
+ "page_idx": 11
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_8.jpg",
+ "caption": "Figure 8: Architecture of revised Evoformer.",
+ "footnote": [],
+ "bbox": [
+ [
+ 118,
+ 680,
+ 880,
+ 860
+ ]
+ ],
+ "page_idx": 11
+ }
+]
\ No newline at end of file
diff --git a/preprint/preprint__02f73dadd2b3fa85ae81c3b9b484d3e6b803890aee745942b0f2b11bf51047a9/preprint__02f73dadd2b3fa85ae81c3b9b484d3e6b803890aee745942b0f2b11bf51047a9.mmd b/preprint/preprint__02f73dadd2b3fa85ae81c3b9b484d3e6b803890aee745942b0f2b11bf51047a9/preprint__02f73dadd2b3fa85ae81c3b9b484d3e6b803890aee745942b0f2b11bf51047a9.mmd
new file mode 100644
index 0000000000000000000000000000000000000000..37c29f91b974ab9611ffcda65c75fc45e7b58628
--- /dev/null
+++ b/preprint/preprint__02f73dadd2b3fa85ae81c3b9b484d3e6b803890aee745942b0f2b11bf51047a9/preprint__02f73dadd2b3fa85ae81c3b9b484d3e6b803890aee745942b0f2b11bf51047a9.mmd
@@ -0,0 +1,250 @@
+
+# HelixFold-Single: MSA-free Protein Structure Prediction by Using Protein Language Model as an Alternative
+
+Xiaomin Fang Baidu Inc. Fan Wang Baidu Inc. Lihang Liu ( \(\square\) liulihang@baidu.com) Baidu Inc. Jingzhou He Baidu Inc. Dayong Lin Baidu Inc. Yingfei Xiang Baidu Inc. https://orcid.org/0000- 0002- 4505- 7735 Xiaonan Zhang Baidu Inc. Hua Wu Baidu Hui Li BioMap Le Song BioMap
+
+## Article
+
+Keywords: Protein structure prediction, Primary sequence, Protein language model, Large- scale
+
+Posted Date: September 15th, 2022
+
+DOI: https://doi.org/10.21203/rs.3.rs- 1969991/v1
+
+License: © © This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+<--- Page Split --->
+
+# HELIXFOLD-SINGLE: MSA-FREE PROTEIN STRUCTURE PREDICTION BY USING PROTEIN LANGUAGE MODEL AS AN ALTERNATIVE
+
+Xiaomin Fang \(^{1}\) ; Fan Wang \(^{1}\) ; Lihang Liu \(^{1}\) ; Jingzhou He \(^{1}\) , Dayong Lin \(^{1}\) , Yingfei Xiang \(^{1}\) , Xiaonan Zhang \(^{1}\) , Hua Wu \(^{1}\) , Hui Li \(^{2}\) , Le Song \(^{2}\) \(^{1}\) Baidu Inc., \(^{2}\) BioMap.
+
+## ABSTRACT
+
+AI- based protein structure prediction pipelines, such as AlphaFold2, have achieved near- experimental accuracy. These advanced pipelines mainly rely on Multiple Sequence Alignments (MSAs) as inputs to learn the co- evolution information from the homologous sequences. Nonetheless, searching MSAs from protein databases is time- consuming, usually taking dozens of minutes. Consequently, we attempt to explore the limits of fast protein structure prediction by using only primary sequences of proteins. HelixFold- Single is proposed to combine a large- scale protein language model with the superior geometric learning capability of AlphaFold2. Our proposed method, HelixFold- Single, first pre- trains a large- scale protein language model (PLM) with thousands of millions of primary sequences utilizing the self- supervised learning paradigm, which will be used as an alternative to MSAs for learning the co- evolution information. Then, by combining the pre- trained PLM and the essential components of AlphaFold2, we obtain an end- to- end differentiable model to predict the 3D coordinates of atoms from only the primary sequence. HelixFold- Single is validated in datasets CASP14 and CAMEO, achieving competitive accuracy with the MSA- based methods on the targets with large homologous families. Furthermore, HelixFold- Single consumes much less time than the mainstream pipelines for protein structure prediction, demonstrating its potential in tasks requiring many predictions. The code of HelixFold- Single is available at https://github.com/PaddlePaddle/PaddleHelix/tree/dev/apps/protein_folding/helixfold- single, and we also provide stable web services on https://paddlehelix.baidu.com/app/drug/protein- single/forecast.
+
+19 Keywords Protein structure prediction · Primary sequence · Protein language model · Large- scale
+
+## 1 Introduction
+
+Proteins participate in essentially all biological processes and play critical roles for an organism. The structures of proteins are highly correlated to their functions in the biological processes. Determining the protein structures to understand their functions can bring considerable contributions to life science.
+
+In recent years, AI- based protein structure prediction technologies have made significant progress in prediction accuracy, demonstrating great prospects for the drug and vaccine industry. Particularly, AlphaFold2 [1] pushes the performance to a new frontier in the challenging 14th Critical Assessment of protein Structure Prediction (CASP14 [2]), approaching the accuracy of experimental determination methods. Mainstream protein structure prediction pipelines heavily rely on co- evolution information extracted from Multiple Sequence Alignments (MSAs). MSAs can be simply regarded as protein chains similar to the target protein chain in sequence. MSA is related to the co- evolution information of protein sequences, which is crucial to predicting its structure. However, over- reliance on MSAs becomes the bottleneck of various protein- related tasks.
+
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+First, compared with the time (usually several seconds) required for model inference in the structure prediction pipeline, searching MSAs is time- consuming, costing dozens of minutes for a protein. The time- consuming searching is devastating in the tasks demanding high- throughput requests, such as protein design. Second, the primary structures (single sequence), rather than the MSAs, drive the folding of the proteins. The MSA extracting methods are also not designed specifically for protein folding. Thus, the MSA- based pipelines only memorize the determined structures of similar proteins for prediction but do not entirely understand the mechanism of protein folding.
+
+Consequently, designing an accurate MSA- free protein structure prediction method to address the mentioned issues is likely to benefit and accelerate the development of protein studies. We argue that a large- scale protein language model (PLM) can be served as an alternative to the MSAs to learn the co- evolution knowledge for MSA- free prediction. We speculate that a PLM with billions of parameters can effectively memorize the MSAs and infer the co- evolution information. The past few years have seen the tremendous success of large- scale language models [3, 4, 5] in Natural Language Processing, a field that shares a lot of characters with protein studying. With the increase of the model parameters, the capacity for learning language knowledge grows substantially. Using self- supervised learning on large- scale unlabeled proteins, PLMs can reveal the long- range relation along protein sequences and improve downstream protein- related tasks. Advanced works have attempted to adopt PLMs to enhance the performance of multiple downstream tasks, such as estimating the secondary structures and the functions [6, 7, 8, 9]. Particularly, several studies [10, 11, 12] attempted to apply PLMs to protein structure prediction. Most works first predict the inter- residue 2D geometry by neural networks and then reconstruct the 3D structure based on energy minimization, which can not provide end- to- end 3D structure prediction. Besides, compared with the geometric learning capability of EvoFormer and Structure Module proposed by AlphaFold, the capacities of the geometric models used by these methods, such as recursive models and ResNets, are also unsatisfactory in understanding the co- evolution and spatial relations between the residues in a single sequence.
+
+Inspired by the progress of PLMs and AlphaFold2, we propose an end- to- end MSA- free protein structure prediction pipeline, HelixFold- Single. The model used in HelixFold- Single consists of two major components: a large- scale PLM as the foundation and the essential components from AlphaFold2 for folding. The PLM can encode the primary structure into single representation and pair representation to learn the domain knowledge. The EvoFormer and Structure Module from AlphaFold2 are then integrated to process the representation, learn the geometric knowledge, and then predict the coordinates of atoms. The two components are wired up to give an end- to- end differentiable model. HelixFold- Single contains two training stages. In the first stage, the large- scale PLM is trained with thousands of millions of unlabeled single sequences by the task of masked language prediction. In the second stage, we train the whole model with the protein structures composed of experimental ground- truth and augmentation structures generated by AlphaFold2.
+
+We compare HelixFold- Single with AlphaFold2 and RoseTTAFold on datasets CASP14 and CAMEO. HelixFold- Single achieves competitive accuracy with those methods on proteins with sufficient homologous sequences. We also analyze the performance of HelixFold- Single on targets with various homologous sequences, and HelixFold- Single is capable of providing accurate structure predictions on most targets, especially the targets with large homologous families. The ablation study comparing the PLMs of different sizes demonstrates the importance of the size of PLM for structure prediction. Furthermore, HelixFold- Single shows great superiority in prediction efficiency compared with the MSA- based methods and could be applied to protein- related tasks demanding a great number of predictions. The code of HelixFold- Single is publicly released at GitHub https://github.com/PaddlePaddle/PaddleHelix/tree/dev/apps/protein_folding/helixfold- single. Web service of HelixFold- Single is also available at https://paddlehelix.baidu.com/app/drug/protein- single/forecast to provide efficient protein structure predictions.
+
+## 2 HelixFold-Single
+
+HelixFold- Single aims to take advantage of both the protein language model (PLM) and the main modules used in AlphaFold2 for single sequence- based protein structure prediction. As exhibited in Figure 1, HelixFold- Single consists of three components: PLM Base, Adaptor, and Geometric Modeling. A large- scale PLM Base is employed to encode the co- evolution information in the parameters, which is used as an alternative to MSAs. Then, in Geometric Modeling, following AlphaFold2, we use modified EvoFormer and Structure Module to sufficiently exchange the information between the single representations and pair representations to capture the geometric information and recover the 3D coordinates of the atoms. We adopt an Adaptor layer to extract the co- evolution information from PLM to effectively generate the sequence and pair representations required as inputs to the Geometric modeling. The whole differentiable pipeline is trained by both self- supervised pre- training with bulks of unlabeled single sequences and supervised learning with geometric labels.
+
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+
+
+Figure 1: The framework of HelixFold-Single with a protein language model as PLM Base, the compose of EvoFormer and Structure Module of AlphaFold2 as Geometric Modeling, and Adaptor to connect PLM Base and Geometric Modeling.
+
+### 85 2.1 Large-Scale PLM Base
+
+Inspired by large- scale pre- trained language models, we follow previous works on pre- training a protein language model (PLM). The PLM processes the primary protein sequences (i.e., the amino acid sequences) and extracts the knowledge needed for further geometric modeling. A protein of length \(L\) can be uniquely represented by a sequence of types of amino acids denoted by \(\pmb {x} = (x_{1},x_{2},\dots,x_{L})\) . An embedding layer \(E(x_{t})\) maps the type it do \(d_{PLM}\) - dimension embedding vectors:
+
+\[\pmb{x}^{(0)} = (E(x_{1}),E(x_{2}),\dots,E(x_{L})).\]
+
+86 Notice that \(\pmb{x}^{(k)}\in \mathbb{R}^{L\times d_{PLM}}\) is the representation of the amino acid sequence.
+
+We then apply the widely used Transformer- style blocks ([3] to process the embedding vectors, denoted by
+
+\[\pmb{x}^{(k + 1)} = \text{DisentangledAttentionTransformer}(\pmb{x}^{(k)}). \quad (1)\]
+
+87 Accurately predicting the contacts between the residues, especially the long- rage contacts, is critical for protein structure prediction. Considering the contact between the residues is more dependent on the relative positions rather than the absolute positions (counted from the start of the sequence), we employ DisentangledAttentionTransformer from DeBerTa [13] to focus on the modeling of interactions between the residue representations and the relative positions. 91 DisentangledAttentionTransformer adopts the attention mechanism to learn the interactions between the residues as well as the interactions of the interaction- position pairs.
+
+92 Besides, we take advantage of multi- head self- attention weights in DisentangledAttentionTransformer to construct the initial pair representation. The attention weights of the \(k\) - th block is denoted by \(\pmb{z}^{(k)}\in \mathbb{R}^{L\times L\times h_{PLM}}\) , where \(h_{PLM}\) is the number of heads of self- attention.
+
+We add an additional Adaptor to map the output of PLM Base to the input of Geometric Modeling module.
+
+\[\begin{array}{r l} & {\tilde{\pmb{x}}^{(0)} = L i n e a r(\pmb{x}^{(n_{P L M})}),}\\ & {\tilde{\pmb{z}}^{(0)} = L i n e a r([\pmb{z}^{(1)},\pmb{z}^{(2)},\dots ,\pmb{z}^{(n_{P L M})}]),} \end{array} \quad (2)\]
+
+where \(n_{PLM}\) is the number of blocks in PLM Base, and operator [] refers to concatenation. \(\tilde{\pmb{x}}^{(0)}\in \mathbb{R}^{L\times d_{\mathrm{Single}}}\) and \(\tilde{\pmb{z}}^{(0)}\in \mathbb{R}^{L\times L\times d_{\mathrm{Pair}}}\) are the initial single representations and pair representations of the Geometric Modeling module, respectively.
+
+### 2.2 Geometric Modeling
+
+100 We employ the EvoFormer and Structure Module proposed by AlphaFold2 [1] to model the relations between the 101 residues and then estimate the 3D coordinates of the atoms in the proteins. We slightly modify the original EvoFormer
+
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+
+and Structure Module's architecture to match our settings. First, the original EvoFormer takes the MSA representation and pair representation, encoded from the searched MSAs, as input. As an alternative, we take the output of the Adaptor (including the single representations \((\tilde{\pmb{x}}^{(0)})\) and pair representations \((\tilde{\pmb{x}}^{(0)})\) ). Second, Evoformer adopts various attention mechanisms to exchange the information within the single and pair representations to learn the spatial relationships. Note that, compared with the original version of Evoformer proposed by AlphaFold2, we remove the column-wise gated self- attention because HelixFold- Single focuses on MSA- free protein structure prediction and is no need to exchange the messages within the MSAs. We follow the other geometric components of AlphaFold2, including the Structure Module that takes the single representation and pair representation yielded by the EvoFormer, and exploits Invariant Point Attention and other geometric transformation operators to end- to- end predict the 3D coordinates of the atoms. Also, following AlphaFold2, we recycle the whole Geometric Modeling module to refine the predicted structures iteratively.
+
+### 3.2 Model Optimization
+
+For the sake of leveraging the domain knowledge from the protein database, we operate two- stage parameter optimization on HelixFold- Single.
+
+In the first stage, the PLM is pre- trained to capture the co- evolution information. The PLM is trained with about 300 million of single sequences recorded in a protein database. To encourage PLM to observe the diverse single sequences as soon as possible, we cluster the proteins by the similarity of single sequences and sample the proteins to balance the distributions of different clusters in our training data. We apply the self- supervised technique masked language model (MLM) to optimize the parameters of the PLM, by randomly masking \(15\%\) of residues in the single sequences and then reconstructing those masked residues. More concretely, MLM attempts to predict \(p(x_{l}|x_{1},\ldots ,x_{l - 1},x_{M},x_{l + 1},\ldots ,x_{L})\) given the residue in the \(l\) - th position \(x_{l}\) being masked by \(x_{M}\) . A crucial proposal of this work is that PLM can learn the dependency between the masked residue and the other residues, and thus represent the co- evolution information. Previous works [6] have already verified that PLMs can reveal secondary structures of the proteins, but little has been discussed on the relation between PLM and co- evolution. Co- evolution is the phenomenon that two residues in contact tend to evolve at the same time to preserve the structure and thus the function of the protein. In PLM, if a residue at another position \(s\) has a profound impact (the residue at position \(s\) is changed, the masked residue will also change) on the masked residue, then those two residues are likely to evolve at the same time.
+
+In the second stage, since merely relying on PLM to predict the structure is inadequate to capture the geometric information, PLM Base and Geometric Modeling modules in HelixFold- Single are jointly optimized. We utilize 100 thousand experimentally determined protein structures. We also use additional one million estimated protein structures for training in this stage (distilled from AlphaFold2). Following AlphaFold2, we end- to- end train the network with the main losses, including Frame Aligned Point Error (FAPE) loss and other auxiliary losses. By combining the computational efficient PLM Base module (compared with MSA search) and the Geometric Modeling module, HelixFols- Single is capable of providing efficient and precise protein structure prediction.
+
+## 3 Results
+
+### 3.1 Datasets
+
+We used UniRef30 (2021- 03) [14] to pre- train the PLM, which clusters UniProtKB [15] sequences at the level of \(30\%\) pairwise sequence identity. Then, three datasets are used to train the whole network, including the proteins in RCSB PDB [16, 17] released before 2020- 05- 14 and two self- distillation datasets constructed from Uniclust30 (version 2018- 08) and AlphaFold Protein Structure Database [18].
+
+### 3.2 Overall Comparison
+
+CASP14 [1, 19, 20] with 87 domain targets and CAMEO [21] with 371 targets collected from 2021- 09- 04 to 2022- 02- 19 are used to compare the overall accuracy of HelixFold- Single with the several baseline structure prediction pipelines, including the MSA- based and MSA- free methods. AlphaFold2 [1] and RoseTTAFold [22] are currently the most advanced methods for protein structure prediction, relying on MSAs to provide predictions. We test the accuracy of AlphaFold2 and RossTTAFold with and without homologous sequences, respectively. A commonly used metric, i.e., TM- score [23], is exploited to evaluate the accuracy of HelixFold- Single and other methods.
+
+Figure 2 exhibits the test results of our proposed HelixFold- Single and the compared methods on CASP14 and CAMEO. From the results, we have the following observations:
+
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+
+
+Figure 2: Overall comparison of HelixFold-Single and other methods on CASP14 and CAMEO. AlphaFold2 (input:MSA) and RoseTTAFold (input:MSA) are MSA-based methods, while the remaining use the primary structures as input.
+
+(1) In general, HelixFold-Single significantly surpasses all the MSA-free methods on CASP14 and CAMEO and is competitive with the MSA-based methods in some cases. Notably, the accuracy of HelixFold-Single on CAMEO is comparable to that of AlphaFold2 (input:MSA) and outshines another strong baseline, RoseTTAFold (input:MSA). HelixFold-Single demonstrates the great potential of incorporating PLM into geometric modeling for protein structure prediction.
+
+(2) HelixFold-Single can be par with the MSA-based methods on the targets with large homologous families, e.g., TBM-easy domain targets in CASP14 with a median of seven homologous sequences and targets with more than a thousand homologous sequences (MSA depth > 1000) in CAMEO. These results indicate that the accuracy of HelixFold-Single is correlated to the richness of homologous sequences, revealing that the large-scale PLM adopted by HelixFold-Single is capable of embedding the information, e.g., co-evolution knowledge, of MSAs used by the MSA-based methods.
+
+(3) Compared HelidFold-Single with other MSA-free methods, HelixFold-Single exhibits its great superiority on all the categories of CASP14 and CAMEO. Since AlphaFold2 and RoseTTAFold rely on MSAs as input during the training process, it is challenging for those methods to provide accurate predicts when taking only the single sequences as input.
+
+### 3.3 Effect of Number of Homologous Sequences
+
+The results on CASP14 and CAMEO indicate that the accuracy of HelixFold- Single is related to the number of homologous sequences. We further compare the performance of HelixFold- Single and other methods on the targets with variant MSA depths. We collected the targets released between 2020- 05 and 2021- 10 from PDB, from which we picked the targets with relatively sparse homologous sequences. We blended those targets with the data of CASP14 and CAMEO as a new evaluation set. Figure 3a compares the TM- scores of HelixFold- Single and the baseline methods on the evaluation set, grouped by the number of homologous sequences (MSA depths). Figure 3b shows the distribution of the proteins in different groups in this evaluation set. We can see that as the available homologous sequences grow, the average TM- score of both HelixFold- Single and the MSA- based methods increases, while the scores of the other MSA- free methods decrease. For the proteins with sparse homologous sequences, the TM- scores of all the compared methods are unsatisfactory. For the proteins with larger homologous families, especially those with more than thousands, HelixFold- Single can compete with the MSA- based methods. Given that 90% of the targets in PDB have more than 1024 homologous sequences, we can reasonably extrapolate that HelixFold- Single can achieve satisfying accuracy on the most frequently investigated proteins.
+
+In order to further investigate the relationship between the capacity of the PLM, the accuracy of protein structure prediction, and the size of the homologous family, we utilized the targets in CASP14 and CAMEO datasets to exhibit their relations, as shown in Figure 3c, Figure 3d, and Figure 3e. As we expected, from Figure 3c, a protein's structure accuracy (TM- score) is correlated to the size of its homologous family (MSA depth), and the results are consistent with those in Figure 3b. Besides, we use a probability metric, Perplexity [24], to indicate the capacity of the protein language model. If the PLM can predict or reconstruct a protein sequence well, the Perplexity is low in predicting that target. From Figure 3d and Figure 3e, we can observe that the Perplexity of the PLM and the MSA depths are negatively correlated. The Perplexity of the PLM and the TM- scores of HelixFold- Single are also negatively correlated. The results indicate that if the PLM Base module can well predict (model) a protein sequence, there is a high probability that the PLM module can learn the co- evolution information of this protein and serves as an alternative to MSAs. Thus, the
+
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+
+
+Figure 3: Analysis of the impact of homologous sequences (MSA depths) and investigation of the relations between MSA depths, TM-scores, and perplexity of the PLM.
+
+
+
+Figure 4: Comparison of PLMs of different sizes.
+
+188 Geometric Modeling module can leverage the co- evolution embedded in the PLM to provide a more accurate structure for that protein.
+
+### 3.4 Effect of the Sizes of the PLMs
+
+To comprehensively study the ability of the PLMs of different sizes to learn the co- evolution information, we compare a pre- trained PLM of 1B parameters (denoted by PLM- 1B) and another pre- trained PLM of 100M (denoted by PLM- 100M). Table 4a exhibits the Perplexity of PLM- 1B and PLM- 100M of the targets from datasets CASP14 and CAMEO. In general, the smaller the perplexity is, the stronger the capacity of the PLM is. Thus, PLM- 1B with more model parameters performs better than PLM- 100M with fewer parameters on both datasets CASP14 and CAMEO. In addition, we apply the PLM- 1B and PLM- 100M on the task of protein residue contact prediction to compare their performance on the downstream tasks. We simply fit a logistic regression that takes the attention weights, i.e., \([z^{(1)}, z^{(2)}, \dots , z^{(n_{PLM})}]\) ,
+
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+
+from the PLMs as input and predict the contact of residues on the targets in datasets CASP14 and CAMEO. Following [6, 25], we use top L/5 long-range contact precision, denoted by P@L/5, as the evaluation metric, and the results are shown in Figure 4b. As we can see, PLM- 1B is significantly superior to PLM- 100M on the contact prediction task. The results from Figure 4a and Figure 4b both support the hypothesis that the larger the size of the PLM is, the stronger its capacity is. Therefore, it can be reasonably inferred that the performance of the PLM will continue to improve as the size of the PLM increases to a larger size.
+
+## 3.5 Prediction Speed Comparison
+
+
+
+Figure 5: Median times of MSA search, AlphaFold2, and HelixFold-Single on proteins with various lengths.
+
+Massive time consumption for searching MSAs is one of the bottlenecks of the MSA- based folding, and accelerating the speed of protein structure prediction can considerably broader its applications. The MSA- free HelixFold- Single has a tremendous advantage for inference efficiency for exempting MSA searching. Figure 5 exhibits the computation time cost of 1. MSA searching; 2. Whole inference pipeline of AlphaFold2; 3. Inference of HelixFold- Single. All the tests are executed in a single NVIDIA A100(40G) GPU. In general, Helixfold- Single consumes much less time than the AlphaFold2, while AlphaFold2 pipeline spends most of its time in MSA searching. For proteins less than 100 in length, HelixFold- Single's prediction time is only about one- thousandth of that of AlphaFold2. Even for the proteins with more than 800 amino acids, HelixFold- Single still has great efficiency superiority. The high efficiency of HelixFold- Single demonstrates the potential of its application in tasks with a great demand for structural prediction.
+
+## 3.6 Case Study
+
+
+
+Figure 6: HelixFold-Single predicts PlyC and RoxP structure more accurately than AlphaFold2. PlyC structures predicted by (a) AlphaFold2 and (b) HelixFold-Single is aligned with the reference structure (PDB ID: 7KWT, chain B); RoxP structure predicted by (c) AlphaFold2 and (d) HelixFold-Single is aligned with the reference structure (PDB ID: 7BCJ, chain A). A-D) Green: structure predicted by AlphaFold2. Magentas: structure predicted by HelixFold-Single. Cyan: reference crystal structure measured by X-RAY diffraction approach (resolution<1.8A). Key residues related to protein function are shown as sticks.
+
+Most proteins exert their functions by interacting with other molecules. Changes in the structure of a protein, especially those in the key interacting residues, can significantly affect its biological function. As a result, a protein's function is closely associated with its structure, and accurately predicting the structure would facilitate our understanding of its
+
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+
+218 biological role. While AlphaFold2 achieves outstanding accuracy in most of the protein structure prediction tasks, its performance can still be poor in some situations. Here, we demonstrate that HelixFold- Single complements AlphaFold2 in several of these cases. Endolysin enzymes from bacteriophages cause bacterial lysis by degrading the peptidoglycan cell wall. The streptococcal C1 phage endolysin PlyC is the most potent endolysin and can rapidly lyse group A, C, and E streptococci. Study on PlyC structure revealed that the key residues, including R66, E36, R29, etc, are important for the binding of PlyC to its target and hence are critical to its function [26]. However, AlphaFold2 failed to produce the reliable structure of the protein (Figure 6(a)). This is probably due to insufficient co- evolution information extracted from MSAs. In contrast, the structure predicted by HelixFold- Single (Figure 6(b)) more closely resembles the one measured by the experiment, likely attributed to its little dependence on the information from MSAs. A similar result is observed for another protein RoxP. This protein is produced by Cutibacterium acnes, a predominant bacterium on human skin, and was shown to alleviate radical- induced cell damage. The key residues R56, R106, R121, R123 on RoxP form a positively charged groove, which acts as the binding site for substrate and cofactors [27]. HelixFold- Single accurately predicts the formation of the positively charged groove (Figure 6(d)), which is not observed in the structure predicted by AlphaFold2 (Figure 6(c)). Furthermore, the TM- score of HelixFold- Single for RoxP is much higher than that of AlphaFold2, suggesting an overall better performance of HelixFold- Single in predicting RoxP structure. Altogether, our case studies indicate that HelixFold- Single outperforms AlphaFold2 in some situations and can be used as a reliable tool to analyze the function of proteins without known X- RAY structures.
+
+## 4 Related Works
+
+### 4.1 Protein Language Models
+
+Large- scale language models [3] with the self- supervised learning (SSL) paradigm, such as masked language model (MLM) [4] and auto- regression [26], have achieved extraordinary success in Natural Language Processing (NLP) tasks. Recent progress has revealed that their capabilities are deeply related to the scale of the model parameters: the larger the scale of the parameters, the better the performance [5]. The community has not yet seen a sign of stopping growth by moving from billions to hundreds of billions of parameters. Those language models are capable of memorizing and generalizing massive common- sense knowledge and professional expertise implicitly included in the large- scale unlabeled data. Inspired by those achievements, Protein Language Models (PLMs) tried to transfer language models and SSL tasks to protein modeling. A protein can be represented by an amino acid sequence, similar to the sequences of words or tokens in NLP. Previous works [6, 7, 8, 9] have shown that by pre- training with only single sequences without much supervision, protein language models can reveal the protein classification, stability, and lower- level structure information (including secondary, tertiary structures and 2D contact maps). However, the accuracy of these models in structure prediction is still far from that of the mainstream folding models supervised by the ground- truth protein structure.
+
+### 4.2 Protein Structure Prediction
+
+Mainstream pipelines [27, 28, 29, 30] rely on extracting the co- evolution information from Multiple Sequence Align- . ments (MSAs) to predict the protein structures. Earlier works manually designed the features derived from MSAs, such as inverse covariance matrices of MSAs. Then, deep neural networks (DNNs), e.g., convolutional networks, are utilized to model the relations between the residues. Advanced studies [1, 29], directly take the MSAs as input and apply DNNs to predict the 3D coordinates of the proteins. Particularly, the appearance of AlphaFold2 [1] has dramatically narrowed the accuracy gap between the experimentally determined structures and model estimated structures, employing the EvoFormer module to enhance the interaction between MSA sequences and pairwise geometric information and the Structure module to directly predict the atoms' coordinates. However, the reliance on MSA inevitably impedes the computation efficiency and accurate prediction of orphan proteins and designed proteins, as well as downstream tasks such as protein design.
+
+Although the structure of a protein is dependent on its primary structure, it is incredibly challenging to train an accurate model that can infer the protein structures with only the primary structures. Only a small number of samples, i.e., experimentally determined structures recorded in the PDB database, are available for model training. Several works attempt to incorporate the protein language models (PLMs) for MSA- free protein structure prediction. RGN2 [10] employs a protein language model (AminoBERT) with a recurrent geometric network that utilizes Frenet- Serret frames to generate the backbone structure. Besides, advanced studies [11, 12] combine pre- trained PLMs, such as ProT5 [7] and ESM- 1b [31], with ResNets to predict 2D structures, e.g., contact map of a protein, yielding superior performance in orphan proteins. Nonetheless, the overall accuracy of those works is still unsatisfactory due to the limited capacity of the used model architectures.
+
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+
+## 5 Conclusion and Future Work
+
+On the one hand, mainstream protein structure prediction methods, such as AlphaFold2 and RoseTTAFold, rely on the MSAs to extract the homologous information. However, searching MSAs is time- consuming, limiting the application of those methods to broader protein- related tasks. On the other hand, the large- scale protein language model learns the protein correlations from a great number of unlabeled proteins through self- supervised learning tasks. By utilizing large- scale parameters to embed the homologous information, we prove it can be used as an alternative to MSAs to reduce the time consumption required by the protein structure prediction methods. HelixFold- Single attempts to take advantage of both the protein language model and the geometric modeling, end- to- end predicting the protein structures with only the primary structures. HelixFold- Single can be par with the MSA- based methods on targets with large homologous families and is much more efficient than the MSA- based methods, demonstrating its application prospect for protein study.
+
+In the future, as the experimental results indicate that the larger size of the PLM can achieve superior performance, we will continue investigating the PLM with a larger size for protein structure prediction. In addition, the accuracy of the targets with only a few homologous sequences is still unsatisfactory. Thus we will try to introduce more diverse training data to alleviate this problem.
+
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+
+## Appendix A: Training and Evaluation Data
+
+## Training Data
+
+UniRef30 (2021- 03) [14], containing about 260 millions protein sequences is utilized to pre- train the PLM, clustering UniProtKB [15] sequences at the level of \(30\%\) pairwise sequence identity.
+
+Three datasets are utilized to train HelixFold- Single for MSA- free protein structure prediction.
+
+- RCSB PDB [16, 17]: The targets released before 2020-05-14 in PDB are used to train HelixFold-Single. We filter out the targets with resolution larger than \(3\mathring{\mathrm{A}}\) and whose number of amino acids less than 10. The targets are clustered at \(40\%\) sequence identity cutoff.
+
+- Distillation-Uniclust30: We inference the structures of the targets in Uniclust30 (version 2018-08) by AlphaFold2 for self-distillation. We follow the data-prepossess procedure reported in AlphaFold2. Further, the target structures with average pLDDT less than 0.5 are filtered out. Then, the targets are clustered at \(30\%\) sequence identity cutoff.
+
+- Distillation-EBI: About one million protein structures are extracted from AlphaFold Protein Structure Database [18]. We removed the protein structures with average pLDDT less than 0.5. The remaining targets are clustered at \(50\%\) sequence identity cutoff.
+
+## Evaluation Data
+
+We exploit three datasets to evaluate the accuracy and efficiency of HelixFold- Single and the baseline methods.
+
+- CASP14: 61 targets are collected from CASP14 [19, 20] for overall evaluation, which includes 87 domains with classification of FM (free modeling), TBM-easy (easy template-based modeling), TBM-hard (hard template-based modeling) and FM/TBM (modeling with only remote structural homologies).
+
+- CAMEO: We collect 371 targets from CAMEO [21] between 2021-09-04 and 2022-02-19, which consists of various target difficulties including Easy, Medium, and Hard.
+
+- MSA Depth Test: We create a test set obtained from RCSB PDB, including 793 targets with a wide range of different MSA depths from 2020-05 to 2021-10, especially the targets with only a few homologous sequences. This test set is combined with datasets CASP14 and CAMEO to investigate the effect of the number of homologous sequences.
+
+## Appendix B: Detailed Settings of HelixFold-Single
+
+## Training Settings
+
+The implementation of HelixFold- Single is based on our previous work, HelixFold [32], and we use 128 NVIDIA A100 GPUs to train HelixFold- Single. Table 1 exhibits the architecture setting of HelixFold- Single. We train two version of PLMs for ablation study. To balance the computation costs of multiple GPUs for pre- training, the batch size used in each GPU is dynamically adjusted according to the lengths of protein sequences. We use AdamW optimizer [33] with learning rate of 5e- 4, \(\beta_{1} = 0.9\) , \(\beta_{2} = 0.999\) , weight decay of 0.01, learning rate warm- up over the first 30,000 steps. When training the whole network for protein structure estimation, we use Adam optimizer [34] to optimize the parameters. We apply two stages of training: initial training stage and fine- tuning stage. In the initial training stage, the learning rate is set to be 1e- 3 and the lengths of the input protein sequences are cropped to be 256. In the fine- tuning stage, we use learning rate of 2e- 4 and the lengths of the input protein sequences are cropped to be 384. Gradient clipping by the global norm [35] is adopted on the parameters with a clipping value of 1.0.
+
+## Model Architecture
+
+## PLM Base
+
+As shown in Figure 7, PLM Base is mainly based on DeBerTa [13]. We make two slight modifications: (1) To stabilize the pre- training of PLM, instead of using Post- Norm in DeBerTa, Pre- Norm [36] is applied in PLM Base of HelixFold- Single. (2) We find that using residue- to- position and residue- to- residue (Equation 3) is enough, while the performance gain by adding position- to- residue is trivial. Thus, we left out the position- to- residue term in DeBerTa. As a result, we have the DisentangledAttention layer denoted by
+
+<--- Page Split --->
+
+
+Table 1: Architecture setting of HelixFold-Single.
+
+| Components | Model size | Layer num | Hidden size | Intermediate size | Head num |
| PLM-1B | 1.09B | npLM = 20 | dpLM = 2048 | 8192 | hPLM = 16 |
| PLM-100M | 100M | npLM = 12 | dpLM = 768 | 3072 | hPLM = 12 |
| EvoFormer | 87M | nEvoFormer = 24 | dSingle = 512 dPair = 64 | | |
| Structure Module | 1.7M | nStructure = 8 | dStructure = 384 | | |
+
+
+
+Figure 7: Architecture of DisentangledAttentionTransformer (superscript \(k\) denotes the layer id).
+
+\[\begin{array}{r l} & {q = x_{i n}W_{q},\quad k = x_{i n}W_{k},\quad v = x_{i n}W_{v},\quad p = e_{p}W_{p}}\\ & {\quad A_{i,j} = \underbrace{q_{i}k_{j}^{\top}}_{\mathrm{(a)~residue-to-residue}}\quad +\underbrace{q_{i}p_{i(j)}^{\top}}_{\mathrm{(b)~residue-to-position}}}\\ & {\quad x_{o u t} = \mathrm{softmax}(\frac{A}{\sqrt{2d_{P M}}})v} \end{array} \quad (3)\]
+
+330 \(W_{*}\) are trainable parameters; \(e_{p}\) is the trainable position embedding; \(\delta (i,j)\) denotes the relative distance between position \(i\) and \(j\) .
+
+## 332 Geometric Modeling
+
+333 Since HelixFold-Single takes only the single sequence as input, we slightly modify the architecture of Evoformer, 334 removing the columnwise attention. The architecture of the revised Evoformer is shown in Figure 8.
+
+
+
+Figure 8: Architecture of revised Evoformer.
+
+<--- Page Split --->
+
+## References
+
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+
+<--- Page Split --->
+
+387 Cowie, Nicole Hobbs, Pushmeet Kohli, Gerard Kleywegt, Ewan Birney, Demis Hassabis, and Sameer Velankar. 388 AlphaFold Protein Structure Database: massively expanding the structural coverage of protein-sequence space 389 with high- accuracy models. Nucleic Acids Research, 50(D1):D439- D444, 11 2021. 390 [19] Lisa N. Kinch, R. Dustin Schaeffer, Andriy Kryshtafovych, and Nick V. Grishin. Target classification in the 391 14th round of the critical assessment of protein structure prediction (casp14). Proteins: Structure, Function, and 392 Bioinformatics, 89(12):1618- 1632, 2021. 393 [20] Andriy Kryshtafovych, Torsten Schwede, Maya Topf, Krzysztof Fidelis, and John Moult. Critical assessment of 394 methods of protein structure prediction (casp)—round xiv. Proteins: Structure, Function, and Bioinformatics, 395 89(12):1607- 1617, 2021. 396 [21] Xavier Robin, Juergen Haas, Rafal Gumienny, Anna Smolinski, Gerardo Tauriello, and Torsten Schwede. Contin- 397 uous automated model evaluation (cameo)—perspectives on the future of fully automated evaluation of structure 398 prediction methods. Proteins: Structure, Function, and Bioinformatics, 89(12):1977- 1986, 2021. 399 [22] Minkyung Baek, Frank DiMaio, Ivan Anishchenko, Justas Dauparas, Sergey Ovchinnikov, Gyu Rie Lee, Jue 400 Wang, Qian Cong, Lisa N. Kinch, R. Dustin Schaeffer, Claudia Millán, Hahnbeom Park, Carson Adams, Caleb R. 401 Glassman, Andy DeGiovanni, Jose H. Pereira, Andria V. Rodrigues, Alberdina A. van Dijk, Ana C. Ebrecht, 402 Diederik J. Opperman, Theo Sagmeister, Christoph Buhlheller, Tea Pavkov- Keller, Manoj K. Rathinaswamy, Udit 403 Dalwadi, Calvin K. Yip, John E. Burke, K. Christopher Garcia, Nick V. Grishin, Paul D. Adams, Randy J. Read, 404 and David Baker. Accurate prediction of protein structures and interactions using a three- track neural network. 405 Science, 373(6557):871- 876, 2021. 406 [23] Yang Zhang and Jeffrey Skolnick. Scoring function for automated assessment of protein structure template quality. 407 Proteins: Structure, Function, and Bioinformatics, 57(4):702- 710, 2004. 408 [24] Peter F Brown, Stephen A Della Pietra, Vincent J Della Pietra, Jennifer C Lai, and Robert L Mercer. An estimate 409 of an upper bound for the entropy of english. Computational Linguistics, 18(1):31- 40, 1992. 410 [25] Roshan M Rao, Jason Liu, Robert Verkuil, Joshua Meier, John Canny, Pieter Abbeel, Tom Sercu, and Alexander 411 Rives. Msa transformer. In International Conference on Machine Learning, pages 8844- 8856. PMLR, 2021. 412 [26] Alec Radford, Karthik Narasimhan, Tim Salimans, Ilya Sutskever, et al. Improving language understanding by 413 generative pre- training. 2018. 414 [27] Jianyi Yang, Ivan Anishchenko, Hahnbeom Park, Zhenling Peng, Sergey Ovchinnikov, and David Baker. Improved 415 protein structure prediction using predicted interresidue orientations. Proceedings of the National Academy of 416 Sciences, 117(3):1496- 1503, 2020. 417 [28] Jianyi Yang, Renxiang Yan, Ambrish Roy, Dong Xu, Jonathan Poisson, and Yang Zhang. The i- tasser suite: 418 protein structure and function prediction. Nature methods, 12(1):7- 8, 2015. 419 [29] Zongyang Du, Hong Su, Wenkai Wang, Lisha Ye, Hong Wei, Zhenling Peng, Ivan Anishchenko, David Baker, 420 and Jianyi Yang. The trosetta server for fast and accurate protein structure prediction. Nature protocols, 421 16(12):5634- 5651, 2021. 422 [30] Jian Peng and Jinbo Xu. Raptorx: exploiting structure information for protein alignment by statistical inference. 423 Proteins: Structure, Function, and Bioinformatics, 79(S10):161- 171, 2011. 424 [31] Alexander Rives, Joshua Meier, Tom Sercu, Siddharth Goyal, Zeming Lin, Jason Liu, Demi Guo, Myle Ott, 425 C Lawrence Zitnick, Jerry Ma, et al. Biological structure and function emerge from scaling unsupervised learning 426 to 250 million protein sequences. Proceedings of the National Academy of Sciences, 118(15):e2016239118, 2021. 427 [32] Guoxia Wang, Xiaomin Fang, Zhihua Wu, Yiqun Liu, Yang Xue, Yingfei Xiang, Dianhai Yu, Fan Wang, 428 and Yanjun Ma. Helixfold: An efficient implementation of alphafold2 using paddlepaddle. arXiv preprint 429 arXiv:2207.05477, 2022. 430 [33] Ilya Loshchilov and Frank Hutter. Decoupled weight decay regularization. In International Conference on 431 Learning Representations, 2018. 432 [34] Diederik P Kingma and Jimmy Ba. Adam: A method for stochastic optimization. arXiv preprint arXiv:1412.6980, 2014. 433 [35] Razvan Pascanu, Tomas Mikolov, and Yoshua Bengio. On the difficulty of training recurrent neural networks. In 434 International conference on machine learning, pages 1310- 1318. PMLR, 2013. 435 [36] Ruibin Xiong, Yunchang Yang, Di He, Kai Zheng, Shuxin Zheng, Chen Xing, Huishuai Zhang, Yanyan Lan, 436 Liwei Wang, and Tieyan Liu. On layer normalization in the transformer architecture. In International Conference 437 on Machine Learning, pages 10524- 10533. PMLR, 2020.
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+<|ref|>title<|/ref|><|det|>[[44, 106, 925, 207]]<|/det|>
+# HelixFold-Single: MSA-free Protein Structure Prediction by Using Protein Language Model as an Alternative
+
+<|ref|>text<|/ref|><|det|>[[42, 230, 503, 699]]<|/det|>
+Xiaomin Fang Baidu Inc. Fan Wang Baidu Inc. Lihang Liu ( \(\square\) liulihang@baidu.com) Baidu Inc. Jingzhou He Baidu Inc. Dayong Lin Baidu Inc. Yingfei Xiang Baidu Inc. https://orcid.org/0000- 0002- 4505- 7735 Xiaonan Zhang Baidu Inc. Hua Wu Baidu Hui Li BioMap Le Song BioMap
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 731, 101, 748]]<|/det|>
+## Article
+
+<|ref|>text<|/ref|><|det|>[[44, 768, 861, 788]]<|/det|>
+Keywords: Protein structure prediction, Primary sequence, Protein language model, Large- scale
+
+<|ref|>text<|/ref|><|det|>[[44, 806, 352, 825]]<|/det|>
+Posted Date: September 15th, 2022
+
+<|ref|>text<|/ref|><|det|>[[44, 844, 474, 863]]<|/det|>
+DOI: https://doi.org/10.21203/rs.3.rs- 1969991/v1
+
+<|ref|>text<|/ref|><|det|>[[44, 881, 910, 923]]<|/det|>
+License: © © This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+<--- Page Split --->
+<|ref|>title<|/ref|><|det|>[[128, 120, 870, 194]]<|/det|>
+# HELIXFOLD-SINGLE: MSA-FREE PROTEIN STRUCTURE PREDICTION BY USING PROTEIN LANGUAGE MODEL AS AN ALTERNATIVE
+
+<|ref|>text<|/ref|><|det|>[[228, 250, 768, 297]]<|/det|>
+Xiaomin Fang \(^{1}\) ; Fan Wang \(^{1}\) ; Lihang Liu \(^{1}\) ; Jingzhou He \(^{1}\) , Dayong Lin \(^{1}\) , Yingfei Xiang \(^{1}\) , Xiaonan Zhang \(^{1}\) , Hua Wu \(^{1}\) , Hui Li \(^{2}\) , Le Song \(^{2}\) \(^{1}\) Baidu Inc., \(^{2}\) BioMap.
+
+<|ref|>sub_title<|/ref|><|det|>[[450, 346, 545, 362]]<|/det|>
+## ABSTRACT
+
+<|ref|>text<|/ref|><|det|>[[172, 367, 825, 617]]<|/det|>
+AI- based protein structure prediction pipelines, such as AlphaFold2, have achieved near- experimental accuracy. These advanced pipelines mainly rely on Multiple Sequence Alignments (MSAs) as inputs to learn the co- evolution information from the homologous sequences. Nonetheless, searching MSAs from protein databases is time- consuming, usually taking dozens of minutes. Consequently, we attempt to explore the limits of fast protein structure prediction by using only primary sequences of proteins. HelixFold- Single is proposed to combine a large- scale protein language model with the superior geometric learning capability of AlphaFold2. Our proposed method, HelixFold- Single, first pre- trains a large- scale protein language model (PLM) with thousands of millions of primary sequences utilizing the self- supervised learning paradigm, which will be used as an alternative to MSAs for learning the co- evolution information. Then, by combining the pre- trained PLM and the essential components of AlphaFold2, we obtain an end- to- end differentiable model to predict the 3D coordinates of atoms from only the primary sequence. HelixFold- Single is validated in datasets CASP14 and CAMEO, achieving competitive accuracy with the MSA- based methods on the targets with large homologous families. Furthermore, HelixFold- Single consumes much less time than the mainstream pipelines for protein structure prediction, demonstrating its potential in tasks requiring many predictions. The code of HelixFold- Single is available at https://github.com/PaddlePaddle/PaddleHelix/tree/dev/apps/protein_folding/helixfold- single, and we also provide stable web services on https://paddlehelix.baidu.com/app/drug/protein- single/forecast.
+
+<|ref|>text<|/ref|><|det|>[[92, 635, 755, 651]]<|/det|>
+19 Keywords Protein structure prediction · Primary sequence · Protein language model · Large- scale
+
+<|ref|>sub_title<|/ref|><|det|>[[92, 674, 252, 690]]<|/det|>
+## 1 Introduction
+
+<|ref|>text<|/ref|><|det|>[[92, 707, 883, 749]]<|/det|>
+Proteins participate in essentially all biological processes and play critical roles for an organism. The structures of proteins are highly correlated to their functions in the biological processes. Determining the protein structures to understand their functions can bring considerable contributions to life science.
+
+<|ref|>text<|/ref|><|det|>[[92, 755, 883, 866]]<|/det|>
+In recent years, AI- based protein structure prediction technologies have made significant progress in prediction accuracy, demonstrating great prospects for the drug and vaccine industry. Particularly, AlphaFold2 [1] pushes the performance to a new frontier in the challenging 14th Critical Assessment of protein Structure Prediction (CASP14 [2]), approaching the accuracy of experimental determination methods. Mainstream protein structure prediction pipelines heavily rely on co- evolution information extracted from Multiple Sequence Alignments (MSAs). MSAs can be simply regarded as protein chains similar to the target protein chain in sequence. MSA is related to the co- evolution information of protein sequences, which is crucial to predicting its structure. However, over- reliance on MSAs becomes the bottleneck of various protein- related tasks.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[87, 90, 883, 175]]<|/det|>
+First, compared with the time (usually several seconds) required for model inference in the structure prediction pipeline, searching MSAs is time- consuming, costing dozens of minutes for a protein. The time- consuming searching is devastating in the tasks demanding high- throughput requests, such as protein design. Second, the primary structures (single sequence), rather than the MSAs, drive the folding of the proteins. The MSA extracting methods are also not designed specifically for protein folding. Thus, the MSA- based pipelines only memorize the determined structures of similar proteins for prediction but do not entirely understand the mechanism of protein folding.
+
+<|ref|>text<|/ref|><|det|>[[87, 180, 883, 401]]<|/det|>
+Consequently, designing an accurate MSA- free protein structure prediction method to address the mentioned issues is likely to benefit and accelerate the development of protein studies. We argue that a large- scale protein language model (PLM) can be served as an alternative to the MSAs to learn the co- evolution knowledge for MSA- free prediction. We speculate that a PLM with billions of parameters can effectively memorize the MSAs and infer the co- evolution information. The past few years have seen the tremendous success of large- scale language models [3, 4, 5] in Natural Language Processing, a field that shares a lot of characters with protein studying. With the increase of the model parameters, the capacity for learning language knowledge grows substantially. Using self- supervised learning on large- scale unlabeled proteins, PLMs can reveal the long- range relation along protein sequences and improve downstream protein- related tasks. Advanced works have attempted to adopt PLMs to enhance the performance of multiple downstream tasks, such as estimating the secondary structures and the functions [6, 7, 8, 9]. Particularly, several studies [10, 11, 12] attempted to apply PLMs to protein structure prediction. Most works first predict the inter- residue 2D geometry by neural networks and then reconstruct the 3D structure based on energy minimization, which can not provide end- to- end 3D structure prediction. Besides, compared with the geometric learning capability of EvoFormer and Structure Module proposed by AlphaFold, the capacities of the geometric models used by these methods, such as recursive models and ResNets, are also unsatisfactory in understanding the co- evolution and spatial relations between the residues in a single sequence.
+
+<|ref|>text<|/ref|><|det|>[[87, 406, 883, 530]]<|/det|>
+Inspired by the progress of PLMs and AlphaFold2, we propose an end- to- end MSA- free protein structure prediction pipeline, HelixFold- Single. The model used in HelixFold- Single consists of two major components: a large- scale PLM as the foundation and the essential components from AlphaFold2 for folding. The PLM can encode the primary structure into single representation and pair representation to learn the domain knowledge. The EvoFormer and Structure Module from AlphaFold2 are then integrated to process the representation, learn the geometric knowledge, and then predict the coordinates of atoms. The two components are wired up to give an end- to- end differentiable model. HelixFold- Single contains two training stages. In the first stage, the large- scale PLM is trained with thousands of millions of unlabeled single sequences by the task of masked language prediction. In the second stage, we train the whole model with the protein structures composed of experimental ground- truth and augmentation structures generated by AlphaFold2.
+
+<|ref|>text<|/ref|><|det|>[[87, 536, 883, 691]]<|/det|>
+We compare HelixFold- Single with AlphaFold2 and RoseTTAFold on datasets CASP14 and CAMEO. HelixFold- Single achieves competitive accuracy with those methods on proteins with sufficient homologous sequences. We also analyze the performance of HelixFold- Single on targets with various homologous sequences, and HelixFold- Single is capable of providing accurate structure predictions on most targets, especially the targets with large homologous families. The ablation study comparing the PLMs of different sizes demonstrates the importance of the size of PLM for structure prediction. Furthermore, HelixFold- Single shows great superiority in prediction efficiency compared with the MSA- based methods and could be applied to protein- related tasks demanding a great number of predictions. The code of HelixFold- Single is publicly released at GitHub https://github.com/PaddlePaddle/PaddleHelix/tree/dev/apps/protein_folding/helixfold- single. Web service of HelixFold- Single is also available at https://paddlehelix.baidu.com/app/drug/protein- single/forecast to provide efficient protein structure predictions.
+
+<|ref|>sub_title<|/ref|><|det|>[[88, 728, 285, 746]]<|/det|>
+## 2 HelixFold-Single
+
+<|ref|>text<|/ref|><|det|>[[87, 770, 883, 910]]<|/det|>
+HelixFold- Single aims to take advantage of both the protein language model (PLM) and the main modules used in AlphaFold2 for single sequence- based protein structure prediction. As exhibited in Figure 1, HelixFold- Single consists of three components: PLM Base, Adaptor, and Geometric Modeling. A large- scale PLM Base is employed to encode the co- evolution information in the parameters, which is used as an alternative to MSAs. Then, in Geometric Modeling, following AlphaFold2, we use modified EvoFormer and Structure Module to sufficiently exchange the information between the single representations and pair representations to capture the geometric information and recover the 3D coordinates of the atoms. We adopt an Adaptor layer to extract the co- evolution information from PLM to effectively generate the sequence and pair representations required as inputs to the Geometric modeling. The whole differentiable pipeline is trained by both self- supervised pre- training with bulks of unlabeled single sequences and supervised learning with geometric labels.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[117, 88, 880, 310]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[114, 317, 882, 362]]<|/det|>
+Figure 1: The framework of HelixFold-Single with a protein language model as PLM Base, the compose of EvoFormer and Structure Module of AlphaFold2 as Geometric Modeling, and Adaptor to connect PLM Base and Geometric Modeling.
+
+<|ref|>sub_title<|/ref|><|det|>[[88, 386, 314, 402]]<|/det|>
+### 85 2.1 Large-Scale PLM Base
+
+<|ref|>text<|/ref|><|det|>[[114, 411, 882, 483]]<|/det|>
+Inspired by large- scale pre- trained language models, we follow previous works on pre- training a protein language model (PLM). The PLM processes the primary protein sequences (i.e., the amino acid sequences) and extracts the knowledge needed for further geometric modeling. A protein of length \(L\) can be uniquely represented by a sequence of types of amino acids denoted by \(\pmb {x} = (x_{1},x_{2},\dots,x_{L})\) . An embedding layer \(E(x_{t})\) maps the type it do \(d_{PLM}\) - dimension embedding vectors:
+
+<|ref|>equation<|/ref|><|det|>[[380, 490, 615, 508]]<|/det|>
+\[\pmb{x}^{(0)} = (E(x_{1}),E(x_{2}),\dots,E(x_{L})).\]
+
+<|ref|>text<|/ref|><|det|>[[87, 515, 617, 532]]<|/det|>
+86 Notice that \(\pmb{x}^{(k)}\in \mathbb{R}^{L\times d_{PLM}}\) is the representation of the amino acid sequence.
+
+<|ref|>text<|/ref|><|det|>[[112, 537, 812, 554]]<|/det|>
+We then apply the widely used Transformer- style blocks ([3] to process the embedding vectors, denoted by
+
+<|ref|>equation<|/ref|><|det|>[[326, 559, 880, 578]]<|/det|>
+\[\pmb{x}^{(k + 1)} = \text{DisentangledAttentionTransformer}(\pmb{x}^{(k)}). \quad (1)\]
+
+<|ref|>text<|/ref|><|det|>[[87, 585, 882, 670]]<|/det|>
+87 Accurately predicting the contacts between the residues, especially the long- rage contacts, is critical for protein structure prediction. Considering the contact between the residues is more dependent on the relative positions rather than the absolute positions (counted from the start of the sequence), we employ DisentangledAttentionTransformer from DeBerTa [13] to focus on the modeling of interactions between the residue representations and the relative positions. 91 DisentangledAttentionTransformer adopts the attention mechanism to learn the interactions between the residues as well as the interactions of the interaction- position pairs.
+
+<|ref|>text<|/ref|><|det|>[[87, 675, 882, 720]]<|/det|>
+92 Besides, we take advantage of multi- head self- attention weights in DisentangledAttentionTransformer to construct the initial pair representation. The attention weights of the \(k\) - th block is denoted by \(\pmb{z}^{(k)}\in \mathbb{R}^{L\times L\times h_{PLM}}\) , where \(h_{PLM}\) is the number of heads of self- attention.
+
+<|ref|>text<|/ref|><|det|>[[110, 724, 812, 741]]<|/det|>
+We add an additional Adaptor to map the output of PLM Base to the input of Geometric Modeling module.
+
+<|ref|>equation<|/ref|><|det|>[[358, 746, 880, 789]]<|/det|>
+\[\begin{array}{r l} & {\tilde{\pmb{x}}^{(0)} = L i n e a r(\pmb{x}^{(n_{P L M})}),}\\ & {\tilde{\pmb{z}}^{(0)} = L i n e a r([\pmb{z}^{(1)},\pmb{z}^{(2)},\dots ,\pmb{z}^{(n_{P L M})}]),} \end{array} \quad (2)\]
+
+<|ref|>text<|/ref|><|det|>[[87, 794, 882, 840]]<|/det|>
+where \(n_{PLM}\) is the number of blocks in PLM Base, and operator [] refers to concatenation. \(\tilde{\pmb{x}}^{(0)}\in \mathbb{R}^{L\times d_{\mathrm{Single}}}\) and \(\tilde{\pmb{z}}^{(0)}\in \mathbb{R}^{L\times L\times d_{\mathrm{Pair}}}\) are the initial single representations and pair representations of the Geometric Modeling module, respectively.
+
+<|ref|>sub_title<|/ref|><|det|>[[87, 855, 298, 870]]<|/det|>
+### 2.2 Geometric Modeling
+
+<|ref|>text<|/ref|><|det|>[[86, 880, 882, 911]]<|/det|>
+100 We employ the EvoFormer and Structure Module proposed by AlphaFold2 [1] to model the relations between the 101 residues and then estimate the 3D coordinates of the atoms in the proteins. We slightly modify the original EvoFormer
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[82, 90, 883, 246]]<|/det|>
+and Structure Module's architecture to match our settings. First, the original EvoFormer takes the MSA representation and pair representation, encoded from the searched MSAs, as input. As an alternative, we take the output of the Adaptor (including the single representations \((\tilde{\pmb{x}}^{(0)})\) and pair representations \((\tilde{\pmb{x}}^{(0)})\) ). Second, Evoformer adopts various attention mechanisms to exchange the information within the single and pair representations to learn the spatial relationships. Note that, compared with the original version of Evoformer proposed by AlphaFold2, we remove the column-wise gated self- attention because HelixFold- Single focuses on MSA- free protein structure prediction and is no need to exchange the messages within the MSAs. We follow the other geometric components of AlphaFold2, including the Structure Module that takes the single representation and pair representation yielded by the EvoFormer, and exploits Invariant Point Attention and other geometric transformation operators to end- to- end predict the 3D coordinates of the atoms. Also, following AlphaFold2, we recycle the whole Geometric Modeling module to refine the predicted structures iteratively.
+
+<|ref|>sub_title<|/ref|><|det|>[[82, 264, 294, 280]]<|/det|>
+### 3.2 Model Optimization
+
+<|ref|>text<|/ref|><|det|>[[81, 290, 882, 320]]<|/det|>
+For the sake of leveraging the domain knowledge from the protein database, we operate two- stage parameter optimization on HelixFold- Single.
+
+<|ref|>text<|/ref|><|det|>[[81, 323, 883, 505]]<|/det|>
+In the first stage, the PLM is pre- trained to capture the co- evolution information. The PLM is trained with about 300 million of single sequences recorded in a protein database. To encourage PLM to observe the diverse single sequences as soon as possible, we cluster the proteins by the similarity of single sequences and sample the proteins to balance the distributions of different clusters in our training data. We apply the self- supervised technique masked language model (MLM) to optimize the parameters of the PLM, by randomly masking \(15\%\) of residues in the single sequences and then reconstructing those masked residues. More concretely, MLM attempts to predict \(p(x_{l}|x_{1},\ldots ,x_{l - 1},x_{M},x_{l + 1},\ldots ,x_{L})\) given the residue in the \(l\) - th position \(x_{l}\) being masked by \(x_{M}\) . A crucial proposal of this work is that PLM can learn the dependency between the masked residue and the other residues, and thus represent the co- evolution information. Previous works [6] have already verified that PLMs can reveal secondary structures of the proteins, but little has been discussed on the relation between PLM and co- evolution. Co- evolution is the phenomenon that two residues in contact tend to evolve at the same time to preserve the structure and thus the function of the protein. In PLM, if a residue at another position \(s\) has a profound impact (the residue at position \(s\) is changed, the masked residue will also change) on the masked residue, then those two residues are likely to evolve at the same time.
+
+<|ref|>text<|/ref|><|det|>[[80, 510, 883, 609]]<|/det|>
+In the second stage, since merely relying on PLM to predict the structure is inadequate to capture the geometric information, PLM Base and Geometric Modeling modules in HelixFold- Single are jointly optimized. We utilize 100 thousand experimentally determined protein structures. We also use additional one million estimated protein structures for training in this stage (distilled from AlphaFold2). Following AlphaFold2, we end- to- end train the network with the main losses, including Frame Aligned Point Error (FAPE) loss and other auxiliary losses. By combining the computational efficient PLM Base module (compared with MSA search) and the Geometric Modeling module, HelixFols- Single is capable of providing efficient and precise protein structure prediction.
+
+<|ref|>sub_title<|/ref|><|det|>[[80, 632, 207, 648]]<|/det|>
+## 3 Results
+
+<|ref|>sub_title<|/ref|><|det|>[[80, 664, 213, 678]]<|/det|>
+### 3.1 Datasets
+
+<|ref|>text<|/ref|><|det|>[[80, 689, 882, 746]]<|/det|>
+We used UniRef30 (2021- 03) [14] to pre- train the PLM, which clusters UniProtKB [15] sequences at the level of \(30\%\) pairwise sequence identity. Then, three datasets are used to train the whole network, including the proteins in RCSB PDB [16, 17] released before 2020- 05- 14 and two self- distillation datasets constructed from Uniclust30 (version 2018- 08) and AlphaFold Protein Structure Database [18].
+
+<|ref|>sub_title<|/ref|><|det|>[[80, 766, 295, 781]]<|/det|>
+### 3.2 Overall Comparison
+
+<|ref|>text<|/ref|><|det|>[[80, 792, 883, 876]]<|/det|>
+CASP14 [1, 19, 20] with 87 domain targets and CAMEO [21] with 371 targets collected from 2021- 09- 04 to 2022- 02- 19 are used to compare the overall accuracy of HelixFold- Single with the several baseline structure prediction pipelines, including the MSA- based and MSA- free methods. AlphaFold2 [1] and RoseTTAFold [22] are currently the most advanced methods for protein structure prediction, relying on MSAs to provide predictions. We test the accuracy of AlphaFold2 and RossTTAFold with and without homologous sequences, respectively. A commonly used metric, i.e., TM- score [23], is exploited to evaluate the accuracy of HelixFold- Single and other methods.
+
+<|ref|>text<|/ref|><|det|>[[80, 881, 883, 911]]<|/det|>
+Figure 2 exhibits the test results of our proposed HelixFold- Single and the compared methods on CASP14 and CAMEO. From the results, we have the following observations:
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[137, 88, 861, 285]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[115, 291, 880, 320]]<|/det|>
+Figure 2: Overall comparison of HelixFold-Single and other methods on CASP14 and CAMEO. AlphaFold2 (input:MSA) and RoseTTAFold (input:MSA) are MSA-based methods, while the remaining use the primary structures as input.
+
+<|ref|>text<|/ref|><|det|>[[85, 348, 883, 419]]<|/det|>
+(1) In general, HelixFold-Single significantly surpasses all the MSA-free methods on CASP14 and CAMEO and is competitive with the MSA-based methods in some cases. Notably, the accuracy of HelixFold-Single on CAMEO is comparable to that of AlphaFold2 (input:MSA) and outshines another strong baseline, RoseTTAFold (input:MSA). HelixFold-Single demonstrates the great potential of incorporating PLM into geometric modeling for protein structure prediction.
+
+<|ref|>text<|/ref|><|det|>[[85, 423, 883, 496]]<|/det|>
+(2) HelixFold-Single can be par with the MSA-based methods on the targets with large homologous families, e.g., TBM-easy domain targets in CASP14 with a median of seven homologous sequences and targets with more than a thousand homologous sequences (MSA depth > 1000) in CAMEO. These results indicate that the accuracy of HelixFold-Single is correlated to the richness of homologous sequences, revealing that the large-scale PLM adopted by HelixFold-Single is capable of embedding the information, e.g., co-evolution knowledge, of MSAs used by the MSA-based methods.
+
+<|ref|>text<|/ref|><|det|>[[85, 500, 883, 544]]<|/det|>
+(3) Compared HelidFold-Single with other MSA-free methods, HelixFold-Single exhibits its great superiority on all the categories of CASP14 and CAMEO. Since AlphaFold2 and RoseTTAFold rely on MSAs as input during the training process, it is challenging for those methods to provide accurate predicts when taking only the single sequences as input.
+
+<|ref|>sub_title<|/ref|><|det|>[[85, 560, 460, 575]]<|/det|>
+### 3.3 Effect of Number of Homologous Sequences
+
+<|ref|>text<|/ref|><|det|>[[85, 585, 883, 766]]<|/det|>
+The results on CASP14 and CAMEO indicate that the accuracy of HelixFold- Single is related to the number of homologous sequences. We further compare the performance of HelixFold- Single and other methods on the targets with variant MSA depths. We collected the targets released between 2020- 05 and 2021- 10 from PDB, from which we picked the targets with relatively sparse homologous sequences. We blended those targets with the data of CASP14 and CAMEO as a new evaluation set. Figure 3a compares the TM- scores of HelixFold- Single and the baseline methods on the evaluation set, grouped by the number of homologous sequences (MSA depths). Figure 3b shows the distribution of the proteins in different groups in this evaluation set. We can see that as the available homologous sequences grow, the average TM- score of both HelixFold- Single and the MSA- based methods increases, while the scores of the other MSA- free methods decrease. For the proteins with sparse homologous sequences, the TM- scores of all the compared methods are unsatisfactory. For the proteins with larger homologous families, especially those with more than thousands, HelixFold- Single can compete with the MSA- based methods. Given that 90% of the targets in PDB have more than 1024 homologous sequences, we can reasonably extrapolate that HelixFold- Single can achieve satisfying accuracy on the most frequently investigated proteins.
+
+<|ref|>text<|/ref|><|det|>[[85, 771, 883, 911]]<|/det|>
+In order to further investigate the relationship between the capacity of the PLM, the accuracy of protein structure prediction, and the size of the homologous family, we utilized the targets in CASP14 and CAMEO datasets to exhibit their relations, as shown in Figure 3c, Figure 3d, and Figure 3e. As we expected, from Figure 3c, a protein's structure accuracy (TM- score) is correlated to the size of its homologous family (MSA depth), and the results are consistent with those in Figure 3b. Besides, we use a probability metric, Perplexity [24], to indicate the capacity of the protein language model. If the PLM can predict or reconstruct a protein sequence well, the Perplexity is low in predicting that target. From Figure 3d and Figure 3e, we can observe that the Perplexity of the PLM and the MSA depths are negatively correlated. The Perplexity of the PLM and the TM- scores of HelixFold- Single are also negatively correlated. The results indicate that if the PLM Base module can well predict (model) a protein sequence, there is a high probability that the PLM module can learn the co- evolution information of this protein and serves as an alternative to MSAs. Thus, the
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[123, 88, 871, 500]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[115, 496, 880, 526]]<|/det|>
+Figure 3: Analysis of the impact of homologous sequences (MSA depths) and investigation of the relations between MSA depths, TM-scores, and perplexity of the PLM.
+
+<|ref|>image<|/ref|><|det|>[[120, 540, 876, 693]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[334, 699, 660, 714]]<|/det|>
+Figure 4: Comparison of PLMs of different sizes.
+
+<|ref|>text<|/ref|><|det|>[[80, 740, 881, 770]]<|/det|>
+188 Geometric Modeling module can leverage the co- evolution embedded in the PLM to provide a more accurate structure for that protein.
+
+<|ref|>sub_title<|/ref|><|det|>[[116, 786, 367, 801]]<|/det|>
+### 3.4 Effect of the Sizes of the PLMs
+
+<|ref|>text<|/ref|><|det|>[[115, 811, 883, 910]]<|/det|>
+To comprehensively study the ability of the PLMs of different sizes to learn the co- evolution information, we compare a pre- trained PLM of 1B parameters (denoted by PLM- 1B) and another pre- trained PLM of 100M (denoted by PLM- 100M). Table 4a exhibits the Perplexity of PLM- 1B and PLM- 100M of the targets from datasets CASP14 and CAMEO. In general, the smaller the perplexity is, the stronger the capacity of the PLM is. Thus, PLM- 1B with more model parameters performs better than PLM- 100M with fewer parameters on both datasets CASP14 and CAMEO. In addition, we apply the PLM- 1B and PLM- 100M on the task of protein residue contact prediction to compare their performance on the downstream tasks. We simply fit a logistic regression that takes the attention weights, i.e., \([z^{(1)}, z^{(2)}, \dots , z^{(n_{PLM})}]\) ,
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[81, 90, 882, 177]]<|/det|>
+from the PLMs as input and predict the contact of residues on the targets in datasets CASP14 and CAMEO. Following [6, 25], we use top L/5 long-range contact precision, denoted by P@L/5, as the evaluation metric, and the results are shown in Figure 4b. As we can see, PLM- 1B is significantly superior to PLM- 100M on the contact prediction task. The results from Figure 4a and Figure 4b both support the hypothesis that the larger the size of the PLM is, the stronger its capacity is. Therefore, it can be reasonably inferred that the performance of the PLM will continue to improve as the size of the PLM increases to a larger size.
+
+<|ref|>sub_title<|/ref|><|det|>[[80, 191, 361, 206]]<|/det|>
+## 3.5 Prediction Speed Comparison
+
+<|ref|>image<|/ref|><|det|>[[305, 223, 690, 400]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[140, 406, 852, 423]]<|/det|>
+Figure 5: Median times of MSA search, AlphaFold2, and HelixFold-Single on proteins with various lengths.
+
+<|ref|>text<|/ref|><|det|>[[80, 437, 882, 565]]<|/det|>
+Massive time consumption for searching MSAs is one of the bottlenecks of the MSA- based folding, and accelerating the speed of protein structure prediction can considerably broader its applications. The MSA- free HelixFold- Single has a tremendous advantage for inference efficiency for exempting MSA searching. Figure 5 exhibits the computation time cost of 1. MSA searching; 2. Whole inference pipeline of AlphaFold2; 3. Inference of HelixFold- Single. All the tests are executed in a single NVIDIA A100(40G) GPU. In general, Helixfold- Single consumes much less time than the AlphaFold2, while AlphaFold2 pipeline spends most of its time in MSA searching. For proteins less than 100 in length, HelixFold- Single's prediction time is only about one- thousandth of that of AlphaFold2. Even for the proteins with more than 800 amino acids, HelixFold- Single still has great efficiency superiority. The high efficiency of HelixFold- Single demonstrates the potential of its application in tasks with a great demand for structural prediction.
+
+<|ref|>sub_title<|/ref|><|det|>[[80, 580, 232, 595]]<|/det|>
+## 3.6 Case Study
+
+<|ref|>image<|/ref|><|det|>[[110, 612, 884, 760]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[113, 769, 883, 853]]<|/det|>
+Figure 6: HelixFold-Single predicts PlyC and RoxP structure more accurately than AlphaFold2. PlyC structures predicted by (a) AlphaFold2 and (b) HelixFold-Single is aligned with the reference structure (PDB ID: 7KWT, chain B); RoxP structure predicted by (c) AlphaFold2 and (d) HelixFold-Single is aligned with the reference structure (PDB ID: 7BCJ, chain A). A-D) Green: structure predicted by AlphaFold2. Magentas: structure predicted by HelixFold-Single. Cyan: reference crystal structure measured by X-RAY diffraction approach (resolution<1.8A). Key residues related to protein function are shown as sticks.
+
+<|ref|>text<|/ref|><|det|>[[80, 869, 882, 912]]<|/det|>
+Most proteins exert their functions by interacting with other molecules. Changes in the structure of a protein, especially those in the key interacting residues, can significantly affect its biological function. As a result, a protein's function is closely associated with its structure, and accurately predicting the structure would facilitate our understanding of its
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[80, 90, 883, 326]]<|/det|>
+218 biological role. While AlphaFold2 achieves outstanding accuracy in most of the protein structure prediction tasks, its performance can still be poor in some situations. Here, we demonstrate that HelixFold- Single complements AlphaFold2 in several of these cases. Endolysin enzymes from bacteriophages cause bacterial lysis by degrading the peptidoglycan cell wall. The streptococcal C1 phage endolysin PlyC is the most potent endolysin and can rapidly lyse group A, C, and E streptococci. Study on PlyC structure revealed that the key residues, including R66, E36, R29, etc, are important for the binding of PlyC to its target and hence are critical to its function [26]. However, AlphaFold2 failed to produce the reliable structure of the protein (Figure 6(a)). This is probably due to insufficient co- evolution information extracted from MSAs. In contrast, the structure predicted by HelixFold- Single (Figure 6(b)) more closely resembles the one measured by the experiment, likely attributed to its little dependence on the information from MSAs. A similar result is observed for another protein RoxP. This protein is produced by Cutibacterium acnes, a predominant bacterium on human skin, and was shown to alleviate radical- induced cell damage. The key residues R56, R106, R121, R123 on RoxP form a positively charged groove, which acts as the binding site for substrate and cofactors [27]. HelixFold- Single accurately predicts the formation of the positively charged groove (Figure 6(d)), which is not observed in the structure predicted by AlphaFold2 (Figure 6(c)). Furthermore, the TM- score of HelixFold- Single for RoxP is much higher than that of AlphaFold2, suggesting an overall better performance of HelixFold- Single in predicting RoxP structure. Altogether, our case studies indicate that HelixFold- Single outperforms AlphaFold2 in some situations and can be used as a reliable tool to analyze the function of proteins without known X- RAY structures.
+
+<|ref|>sub_title<|/ref|><|det|>[[80, 350, 270, 368]]<|/det|>
+## 4 Related Works
+
+<|ref|>sub_title<|/ref|><|det|>[[80, 384, 333, 400]]<|/det|>
+### 4.1 Protein Language Models
+
+<|ref|>text<|/ref|><|det|>[[80, 411, 883, 592]]<|/det|>
+Large- scale language models [3] with the self- supervised learning (SSL) paradigm, such as masked language model (MLM) [4] and auto- regression [26], have achieved extraordinary success in Natural Language Processing (NLP) tasks. Recent progress has revealed that their capabilities are deeply related to the scale of the model parameters: the larger the scale of the parameters, the better the performance [5]. The community has not yet seen a sign of stopping growth by moving from billions to hundreds of billions of parameters. Those language models are capable of memorizing and generalizing massive common- sense knowledge and professional expertise implicitly included in the large- scale unlabeled data. Inspired by those achievements, Protein Language Models (PLMs) tried to transfer language models and SSL tasks to protein modeling. A protein can be represented by an amino acid sequence, similar to the sequences of words or tokens in NLP. Previous works [6, 7, 8, 9] have shown that by pre- training with only single sequences without much supervision, protein language models can reveal the protein classification, stability, and lower- level structure information (including secondary, tertiary structures and 2D contact maps). However, the accuracy of these models in structure prediction is still far from that of the mainstream folding models supervised by the ground- truth protein structure.
+
+<|ref|>sub_title<|/ref|><|det|>[[80, 613, 352, 628]]<|/det|>
+### 4.2 Protein Structure Prediction
+
+<|ref|>text<|/ref|><|det|>[[80, 640, 883, 781]]<|/det|>
+Mainstream pipelines [27, 28, 29, 30] rely on extracting the co- evolution information from Multiple Sequence Align- . ments (MSAs) to predict the protein structures. Earlier works manually designed the features derived from MSAs, such as inverse covariance matrices of MSAs. Then, deep neural networks (DNNs), e.g., convolutional networks, are utilized to model the relations between the residues. Advanced studies [1, 29], directly take the MSAs as input and apply DNNs to predict the 3D coordinates of the proteins. Particularly, the appearance of AlphaFold2 [1] has dramatically narrowed the accuracy gap between the experimentally determined structures and model estimated structures, employing the EvoFormer module to enhance the interaction between MSA sequences and pairwise geometric information and the Structure module to directly predict the atoms' coordinates. However, the reliance on MSA inevitably impedes the computation efficiency and accurate prediction of orphan proteins and designed proteins, as well as downstream tasks such as protein design.
+
+<|ref|>text<|/ref|><|det|>[[80, 785, 883, 911]]<|/det|>
+Although the structure of a protein is dependent on its primary structure, it is incredibly challenging to train an accurate model that can infer the protein structures with only the primary structures. Only a small number of samples, i.e., experimentally determined structures recorded in the PDB database, are available for model training. Several works attempt to incorporate the protein language models (PLMs) for MSA- free protein structure prediction. RGN2 [10] employs a protein language model (AminoBERT) with a recurrent geometric network that utilizes Frenet- Serret frames to generate the backbone structure. Besides, advanced studies [11, 12] combine pre- trained PLMs, such as ProT5 [7] and ESM- 1b [31], with ResNets to predict 2D structures, e.g., contact map of a protein, yielding superior performance in orphan proteins. Nonetheless, the overall accuracy of those works is still unsatisfactory due to the limited capacity of the used model architectures.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[80, 88, 390, 106]]<|/det|>
+## 5 Conclusion and Future Work
+
+<|ref|>text<|/ref|><|det|>[[80, 118, 882, 260]]<|/det|>
+On the one hand, mainstream protein structure prediction methods, such as AlphaFold2 and RoseTTAFold, rely on the MSAs to extract the homologous information. However, searching MSAs is time- consuming, limiting the application of those methods to broader protein- related tasks. On the other hand, the large- scale protein language model learns the protein correlations from a great number of unlabeled proteins through self- supervised learning tasks. By utilizing large- scale parameters to embed the homologous information, we prove it can be used as an alternative to MSAs to reduce the time consumption required by the protein structure prediction methods. HelixFold- Single attempts to take advantage of both the protein language model and the geometric modeling, end- to- end predicting the protein structures with only the primary structures. HelixFold- Single can be par with the MSA- based methods on targets with large homologous families and is much more efficient than the MSA- based methods, demonstrating its application prospect for protein study.
+
+<|ref|>text<|/ref|><|det|>[[80, 264, 882, 321]]<|/det|>
+In the future, as the experimental results indicate that the larger size of the PLM can achieve superior performance, we will continue investigating the PLM with a larger size for protein structure prediction. In addition, the accuracy of the targets with only a few homologous sequences is still unsatisfactory. Thus we will try to introduce more diverse training data to alleviate this problem.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[86, 88, 478, 107]]<|/det|>
+## Appendix A: Training and Evaluation Data
+
+<|ref|>sub_title<|/ref|><|det|>[[86, 120, 215, 136]]<|/det|>
+## Training Data
+
+<|ref|>text<|/ref|><|det|>[[87, 145, 883, 176]]<|/det|>
+UniRef30 (2021- 03) [14], containing about 260 millions protein sequences is utilized to pre- train the PLM, clustering UniProtKB [15] sequences at the level of \(30\%\) pairwise sequence identity.
+
+<|ref|>text<|/ref|><|det|>[[86, 179, 725, 195]]<|/det|>
+Three datasets are utilized to train HelixFold- Single for MSA- free protein structure prediction.
+
+<|ref|>text<|/ref|><|det|>[[156, 205, 883, 249]]<|/det|>
+- RCSB PDB [16, 17]: The targets released before 2020-05-14 in PDB are used to train HelixFold-Single. We filter out the targets with resolution larger than \(3\mathring{\mathrm{A}}\) and whose number of amino acids less than 10. The targets are clustered at \(40\%\) sequence identity cutoff.
+
+<|ref|>text<|/ref|><|det|>[[157, 253, 883, 309]]<|/det|>
+- Distillation-Uniclust30: We inference the structures of the targets in Uniclust30 (version 2018-08) by AlphaFold2 for self-distillation. We follow the data-prepossess procedure reported in AlphaFold2. Further, the target structures with average pLDDT less than 0.5 are filtered out. Then, the targets are clustered at \(30\%\) sequence identity cutoff.
+
+<|ref|>text<|/ref|><|det|>[[157, 313, 883, 356]]<|/det|>
+- Distillation-EBI: About one million protein structures are extracted from AlphaFold Protein Structure Database [18]. We removed the protein structures with average pLDDT less than 0.5. The remaining targets are clustered at \(50\%\) sequence identity cutoff.
+
+<|ref|>sub_title<|/ref|><|det|>[[86, 373, 230, 388]]<|/det|>
+## Evaluation Data
+
+<|ref|>text<|/ref|><|det|>[[86, 398, 839, 415]]<|/det|>
+We exploit three datasets to evaluate the accuracy and efficiency of HelixFold- Single and the baseline methods.
+
+<|ref|>text<|/ref|><|det|>[[156, 423, 883, 466]]<|/det|>
+- CASP14: 61 targets are collected from CASP14 [19, 20] for overall evaluation, which includes 87 domains with classification of FM (free modeling), TBM-easy (easy template-based modeling), TBM-hard (hard template-based modeling) and FM/TBM (modeling with only remote structural homologies).
+
+<|ref|>text<|/ref|><|det|>[[156, 469, 883, 499]]<|/det|>
+- CAMEO: We collect 371 targets from CAMEO [21] between 2021-09-04 and 2022-02-19, which consists of various target difficulties including Easy, Medium, and Hard.
+
+<|ref|>text<|/ref|><|det|>[[156, 502, 883, 559]]<|/det|>
+- MSA Depth Test: We create a test set obtained from RCSB PDB, including 793 targets with a wide range of different MSA depths from 2020-05 to 2021-10, especially the targets with only a few homologous sequences. This test set is combined with datasets CASP14 and CAMEO to investigate the effect of the number of homologous sequences.
+
+<|ref|>sub_title<|/ref|><|det|>[[86, 577, 533, 596]]<|/det|>
+## Appendix B: Detailed Settings of HelixFold-Single
+
+<|ref|>sub_title<|/ref|><|det|>[[86, 610, 237, 625]]<|/det|>
+## Training Settings
+
+<|ref|>text<|/ref|><|det|>[[86, 635, 883, 777]]<|/det|>
+The implementation of HelixFold- Single is based on our previous work, HelixFold [32], and we use 128 NVIDIA A100 GPUs to train HelixFold- Single. Table 1 exhibits the architecture setting of HelixFold- Single. We train two version of PLMs for ablation study. To balance the computation costs of multiple GPUs for pre- training, the batch size used in each GPU is dynamically adjusted according to the lengths of protein sequences. We use AdamW optimizer [33] with learning rate of 5e- 4, \(\beta_{1} = 0.9\) , \(\beta_{2} = 0.999\) , weight decay of 0.01, learning rate warm- up over the first 30,000 steps. When training the whole network for protein structure estimation, we use Adam optimizer [34] to optimize the parameters. We apply two stages of training: initial training stage and fine- tuning stage. In the initial training stage, the learning rate is set to be 1e- 3 and the lengths of the input protein sequences are cropped to be 256. In the fine- tuning stage, we use learning rate of 2e- 4 and the lengths of the input protein sequences are cropped to be 384. Gradient clipping by the global norm [35] is adopted on the parameters with a clipping value of 1.0.
+
+<|ref|>sub_title<|/ref|><|det|>[[86, 792, 253, 807]]<|/det|>
+## Model Architecture
+
+<|ref|>sub_title<|/ref|><|det|>[[86, 818, 190, 832]]<|/det|>
+## PLM Base
+
+<|ref|>text<|/ref|><|det|>[[86, 841, 883, 911]]<|/det|>
+As shown in Figure 7, PLM Base is mainly based on DeBerTa [13]. We make two slight modifications: (1) To stabilize the pre- training of PLM, instead of using Post- Norm in DeBerTa, Pre- Norm [36] is applied in PLM Base of HelixFold- Single. (2) We find that using residue- to- position and residue- to- residue (Equation 3) is enough, while the performance gain by adding position- to- residue is trivial. Thus, we left out the position- to- residue term in DeBerTa. As a result, we have the DisentangledAttention layer denoted by
+
+<--- Page Split --->
+<|ref|>table<|/ref|><|det|>[[152, 110, 840, 230]]<|/det|>
+<|ref|>table_caption<|/ref|><|det|>[[333, 96, 660, 111]]<|/det|>
+Table 1: Architecture setting of HelixFold-Single.
+
+| Components | Model size | Layer num | Hidden size | Intermediate size | Head num |
| PLM-1B | 1.09B | npLM = 20 | dpLM = 2048 | 8192 | hPLM = 16 |
| PLM-100M | 100M | npLM = 12 | dpLM = 768 | 3072 | hPLM = 12 |
| EvoFormer | 87M | nEvoFormer = 24 | dSingle = 512 dPair = 64 | | |
| Structure Module | 1.7M | nStructure = 8 | dStructure = 384 | | |
+
+<|ref|>image<|/ref|><|det|>[[397, 250, 600, 418]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[180, 432, 813, 450]]<|/det|>
+Figure 7: Architecture of DisentangledAttentionTransformer (superscript \(k\) denotes the layer id).
+
+<|ref|>equation<|/ref|><|det|>[[300, 483, 881, 565]]<|/det|>
+\[\begin{array}{r l} & {q = x_{i n}W_{q},\quad k = x_{i n}W_{k},\quad v = x_{i n}W_{v},\quad p = e_{p}W_{p}}\\ & {\quad A_{i,j} = \underbrace{q_{i}k_{j}^{\top}}_{\mathrm{(a)~residue-to-residue}}\quad +\underbrace{q_{i}p_{i(j)}^{\top}}_{\mathrm{(b)~residue-to-position}}}\\ & {\quad x_{o u t} = \mathrm{softmax}(\frac{A}{\sqrt{2d_{P M}}})v} \end{array} \quad (3)\]
+
+<|ref|>text<|/ref|><|det|>[[80, 572, 883, 603]]<|/det|>
+330 \(W_{*}\) are trainable parameters; \(e_{p}\) is the trainable position embedding; \(\delta (i,j)\) denotes the relative distance between position \(i\) and \(j\) .
+
+<|ref|>sub_title<|/ref|><|det|>[[80, 615, 261, 630]]<|/det|>
+## 332 Geometric Modeling
+
+<|ref|>text<|/ref|><|det|>[[80, 639, 884, 670]]<|/det|>
+333 Since HelixFold-Single takes only the single sequence as input, we slightly modify the architecture of Evoformer, 334 removing the columnwise attention. The architecture of the revised Evoformer is shown in Figure 8.
+
+<|ref|>image<|/ref|><|det|>[[118, 680, 880, 860]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[350, 867, 644, 882]]<|/det|>
+Figure 8: Architecture of revised Evoformer.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[86, 88, 208, 105]]<|/det|>
+## References
+
+<|ref|>text<|/ref|><|det|>[[85, 115, 886, 920]]<|/det|>
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+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[78, 90, 886, 900]]<|/det|>
+387 Cowie, Nicole Hobbs, Pushmeet Kohli, Gerard Kleywegt, Ewan Birney, Demis Hassabis, and Sameer Velankar. 388 AlphaFold Protein Structure Database: massively expanding the structural coverage of protein-sequence space 389 with high- accuracy models. Nucleic Acids Research, 50(D1):D439- D444, 11 2021. 390 [19] Lisa N. Kinch, R. Dustin Schaeffer, Andriy Kryshtafovych, and Nick V. Grishin. Target classification in the 391 14th round of the critical assessment of protein structure prediction (casp14). Proteins: Structure, Function, and 392 Bioinformatics, 89(12):1618- 1632, 2021. 393 [20] Andriy Kryshtafovych, Torsten Schwede, Maya Topf, Krzysztof Fidelis, and John Moult. Critical assessment of 394 methods of protein structure prediction (casp)—round xiv. Proteins: Structure, Function, and Bioinformatics, 395 89(12):1607- 1617, 2021. 396 [21] Xavier Robin, Juergen Haas, Rafal Gumienny, Anna Smolinski, Gerardo Tauriello, and Torsten Schwede. Contin- 397 uous automated model evaluation (cameo)—perspectives on the future of fully automated evaluation of structure 398 prediction methods. Proteins: Structure, Function, and Bioinformatics, 89(12):1977- 1986, 2021. 399 [22] Minkyung Baek, Frank DiMaio, Ivan Anishchenko, Justas Dauparas, Sergey Ovchinnikov, Gyu Rie Lee, Jue 400 Wang, Qian Cong, Lisa N. Kinch, R. Dustin Schaeffer, Claudia Millán, Hahnbeom Park, Carson Adams, Caleb R. 401 Glassman, Andy DeGiovanni, Jose H. Pereira, Andria V. Rodrigues, Alberdina A. van Dijk, Ana C. Ebrecht, 402 Diederik J. Opperman, Theo Sagmeister, Christoph Buhlheller, Tea Pavkov- Keller, Manoj K. Rathinaswamy, Udit 403 Dalwadi, Calvin K. Yip, John E. Burke, K. Christopher Garcia, Nick V. Grishin, Paul D. Adams, Randy J. Read, 404 and David Baker. Accurate prediction of protein structures and interactions using a three- track neural network. 405 Science, 373(6557):871- 876, 2021. 406 [23] Yang Zhang and Jeffrey Skolnick. Scoring function for automated assessment of protein structure template quality. 407 Proteins: Structure, Function, and Bioinformatics, 57(4):702- 710, 2004. 408 [24] Peter F Brown, Stephen A Della Pietra, Vincent J Della Pietra, Jennifer C Lai, and Robert L Mercer. An estimate 409 of an upper bound for the entropy of english. Computational Linguistics, 18(1):31- 40, 1992. 410 [25] Roshan M Rao, Jason Liu, Robert Verkuil, Joshua Meier, John Canny, Pieter Abbeel, Tom Sercu, and Alexander 411 Rives. Msa transformer. In International Conference on Machine Learning, pages 8844- 8856. PMLR, 2021. 412 [26] Alec Radford, Karthik Narasimhan, Tim Salimans, Ilya Sutskever, et al. Improving language understanding by 413 generative pre- training. 2018. 414 [27] Jianyi Yang, Ivan Anishchenko, Hahnbeom Park, Zhenling Peng, Sergey Ovchinnikov, and David Baker. Improved 415 protein structure prediction using predicted interresidue orientations. Proceedings of the National Academy of 416 Sciences, 117(3):1496- 1503, 2020. 417 [28] Jianyi Yang, Renxiang Yan, Ambrish Roy, Dong Xu, Jonathan Poisson, and Yang Zhang. The i- tasser suite: 418 protein structure and function prediction. Nature methods, 12(1):7- 8, 2015. 419 [29] Zongyang Du, Hong Su, Wenkai Wang, Lisha Ye, Hong Wei, Zhenling Peng, Ivan Anishchenko, David Baker, 420 and Jianyi Yang. The trosetta server for fast and accurate protein structure prediction. Nature protocols, 421 16(12):5634- 5651, 2021. 422 [30] Jian Peng and Jinbo Xu. Raptorx: exploiting structure information for protein alignment by statistical inference. 423 Proteins: Structure, Function, and Bioinformatics, 79(S10):161- 171, 2011. 424 [31] Alexander Rives, Joshua Meier, Tom Sercu, Siddharth Goyal, Zeming Lin, Jason Liu, Demi Guo, Myle Ott, 425 C Lawrence Zitnick, Jerry Ma, et al. Biological structure and function emerge from scaling unsupervised learning 426 to 250 million protein sequences. Proceedings of the National Academy of Sciences, 118(15):e2016239118, 2021. 427 [32] Guoxia Wang, Xiaomin Fang, Zhihua Wu, Yiqun Liu, Yang Xue, Yingfei Xiang, Dianhai Yu, Fan Wang, 428 and Yanjun Ma. Helixfold: An efficient implementation of alphafold2 using paddlepaddle. arXiv preprint 429 arXiv:2207.05477, 2022. 430 [33] Ilya Loshchilov and Frank Hutter. Decoupled weight decay regularization. In International Conference on 431 Learning Representations, 2018. 432 [34] Diederik P Kingma and Jimmy Ba. Adam: A method for stochastic optimization. arXiv preprint arXiv:1412.6980, 2014. 433 [35] Razvan Pascanu, Tomas Mikolov, and Yoshua Bengio. On the difficulty of training recurrent neural networks. In 434 International conference on machine learning, pages 1310- 1318. PMLR, 2013. 435 [36] Ruibin Xiong, Yunchang Yang, Di He, Kai Zheng, Shuxin Zheng, Chen Xing, Huishuai Zhang, Yanyan Lan, 436 Liwei Wang, and Tieyan Liu. On layer normalization in the transformer architecture. In International Conference 437 on Machine Learning, pages 10524- 10533. PMLR, 2020.
+
+<--- Page Split --->
diff --git a/preprint/preprint__02ff3d622a57e57f23fbd0270759d6705c7c1bacf3881c8b9ed47fb20f93314e/images_list.json b/preprint/preprint__02ff3d622a57e57f23fbd0270759d6705c7c1bacf3881c8b9ed47fb20f93314e/images_list.json
new file mode 100644
index 0000000000000000000000000000000000000000..64dff110780962baabb6194b16d0f65790d9949f
--- /dev/null
+++ b/preprint/preprint__02ff3d622a57e57f23fbd0270759d6705c7c1bacf3881c8b9ed47fb20f93314e/images_list.json
@@ -0,0 +1,62 @@
+[
+ {
+ "type": "image",
+ "img_path": "images/Figure_1.jpg",
+ "caption": "Fig. 1 | Bending behavior of BFO membranes. a, Scanning electron microscope (SEM) image of wrinkled freestanding BFO. Scale bar: \\(1 \\mu \\mathrm{m}\\) . b, Cross-sectional STEM-HAADF image of a single wrinkle in (a). Scale bar: \\(100 \\mathrm{nm}\\) . Inset indicates the unstrained state taken from region 1 (marked by red square), where the spontaneous polarization has an upward out-of-plane component (yellow arrow). c-e, STEM-HAADF images (left) taken from the bent regions 1, 2, 3 in (b), respectively. The strain gradients \\(\\epsilon_{xx,z}\\) are \\(5.2 \\times 10^{6} \\mathrm{m}^{-1}\\) , \\(2.1 \\times 10^{7} \\mathrm{m}^{-1}\\) and \\(3.5 \\times 10^{7} \\mathrm{m}^{-1}\\) , respectively. Middle STEM-iDPC images taken from yellow trapezoid regions show the position of Bi, Fe and O atomic columns. The variation of lattice and oxygen octahedral from the internal (IS) to external surfaces (ES) can be conjectured as shown in the right schematics. Scale bar: \\(2 \\mathrm{nm}\\) . f-h, Corresponding mapping results of in-plane and out-of-plane strain distributions in bent regions marked by yellow trapezoids in (c-e), respectively.",
+ "footnote": [],
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+ 565
+ ]
+ ],
+ "page_idx": 29
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_2.jpg",
+ "caption": "Fig. 2 | Bending behavior of STO membranes. a-c, STEM-HAADF images (left) of bent STO taken from the different bent regions with a strain gradient \\(\\epsilon_{xx,z}\\) of \\(4.2 \\times 10^{6} \\mathrm{~m}^{-1}\\) , \\(9.7 \\times 10^{6} \\mathrm{~m}^{-1}\\) and \\(1.5 \\times 10^{7} \\mathrm{~m}^{-1}\\) , respectively. Middle STEM-iDPC images taken from yellow trapezoid regions show the position of Sr, Ti and O atomic columns. The variation of lattice and oxygen octahedral from the internal (IS) to external surfaces (ES) can be conjectured as shown in the right schematics. Scale bar: \\(2 \\mathrm{~nm}\\) . d-f, Corresponding mapping results of in-plane and out-of-plane strain distributions in bent regions marked by yellow trapezoids in (a-c), respectively.",
+ "footnote": [],
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+ 852,
+ 435
+ ]
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+ "page_idx": 30
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_3.jpg",
+ "caption": "Fig. 3 | Mechanical behavior of bent BFO and STO membranes. a-b, The out-of-plane polarizations at neutral layer and their corresponding strain gradients from the bent BFO and STO membranes, respectively. c, Schematic of the theoretical antisymmetric in-plane and out-of-plane strain distributions in the bent membrane. d, Antisymmetric in-plane and (e) asymmetric out-of-plane strain distributions in the bent BFO with a strain gradient of \\(3.5 \\times 10^{7} \\mathrm{~m}^{-1}\\) along the thickness direction. f, Mean lattice spacing \\(c\\) as a function of the strain gradient in the bent BFO and STO.",
+ "footnote": [],
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+ {
+ "type": "image",
+ "img_path": "images/Figure_4.jpg",
+ "caption": "Fig. 4 | Flexoexpansion and flexoshrinkage effects in piezoelectric membranes. a-f, Simulated bending deformation of ferroelectric membranes (5 nm thickness) with different bending expansion coefficients \\(A = 0.0\\) (a, d), 2.5 (b, e), and 5.0 (c, f) when bent upward (a-c) and downward (d-f), given that the out-of-plane spontaneous polarization (yellow arrow) points upwards. g-h, The flexoexpansion and flexoshrinkage effects observed in upward (g) and downward (h) bent BFO, respectively. i, Strain mapping of trapezoid region in (g) shows the symmetric in-plane strain distribution and asymmetric out-of-plane strain distribution along the thickness direction. j, Strain mapping of trapezoid region in (h) shows the symmetric in-plane strain distribution and asymmetric out-of-plane strain distribution opposite with the case in (i).",
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\ No newline at end of file
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new file mode 100644
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@@ -0,0 +1,402 @@
+
+# Enhanced Polarization and abnormal flexural deformation in bent freestanding perovskite oxides
+
+Songhua Cai The Hong Kong Polytechnic University
+
+Yingzhuo Lun Beijing Institute of Technology
+
+Dianxiang Ji The Hong Kong Polytechnic University https://orcid.org/0000- 0002- 8334- 2043
+
+Peng Lv Beijing Institute of Technology
+
+Lu Han Nanjing University
+
+Changqing Guo Beijing Institute of Technology
+
+Yipeng Zang Nanjing University
+
+Si Gao Nanjing University
+
+Yifan Wei Nanjing University
+
+Min Gu Nanjing University
+
+Chunchen Zhang Nanjing University
+
+Zhenbin Gu Nanjing University
+
+Xueyun Wang Beijing Institute of Technology https://orcid.org/0000- 0001- 5264- 9539
+
+Christopher Addiego University of California, Irvine https://orcid.org/0000- 0001- 7966- 0121
+
+Daining Fang Peking University
+
+Yuefeng Nie Nanjing University https://orcid.org/0000- 0002- 9948- 9904
+
+Jiawang Hong
+
+<--- Page Split --->
+
+Beijing Institute of Technology https://orcid.org/0000- 0002- 9915- 8072
+
+Peng Wang University of Warwick https://orcid.org/0000- 0003- 0788- 6687Xiaoqing Pan ( xiaoqinp@uci.edu ) University of California, Irvine https://orcid.org/0000- 0002- 0965- 8568
+
+## Letter
+
+# Keywords:
+
+Posted Date: May 3rd, 2022
+
+DOI: https://doi.org/10.21203/rs.3.rs- 1594159/v1
+
+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 Nature Communications on August 31st, 2022. See the published version at https://doi.org/10.1038/s41467- 022- 32519- 2.
+
+<--- Page Split --->
+
+# Enhanced Polarization and abnormal flexural deformation in bent freestanding perovskite oxides
+
+Songhua Cai \(^{1,9,*}\) , Yingzhuo Lun \(^{2,9}\) , Dianxiang Ji \(^{1,9}\) , Peng Lv \(^{2}\) , Lu Han \(^{3}\) , Changqing Guo \(^{2}\) , Yipeng Zang \(^{3}\) , Si Gao \(^{3}\) , Yifan Wei \(^{3}\) , Min Gu \(^{3}\) , Chunchen Zhang \(^{3}\) , Zhengbin Gu \(^{3}\) , Xueyun Wang \(^{2}\) , Christopher Addiego \(^{6}\) , Daining Fang \(^{4,5}\) , Yuefeng Nie \(^{3,*}\) , Jiawang Hong \(^{2,*}\) , Peng Wang \(^{8,*}\) , Xiaoqing Pan \(^{6,7,*}\)
+
+<--- Page Split --->
+
+Recent realizations of ultrathin freestanding perovskite oxides offer a unique platform to probe novel properties in two- dimensional oxides. Here, we observed a giant flexoelectric response in freestanding BiFeO₃ and SrTiO₃ in their bent state arising from strain gradients up to 3.5×10⁷ m⁻¹, suggesting a promising approach for realizing extremely large polarizations. Additionally, a substantial change in membrane thickness was discovered in bent freestanding BiFeO₃, which implies an unusual bending- expansion/shrinkage effect in ferroelectric membrane that has never been seen before in crystalline materials. Our theoretical model reveals that this unprecedented flexural deformation within the membrane is attributable to a flexoelectricity- piezoelectricity interplay. The finding unveils intriguing nanoscale electromechanical properties and provides guidance for their practical applications in flexible nanoelectromechanical systems.
+
+Electromechanical properties of functional materials play a significant role in electronic devices1,2. For perovskite oxides with unique electromechanical functionalities, strain engineering can stimulate significant electronic phenomena3- 5, such as inducing polarization in the nonpolar material SrTiO₃ and attaining a record- high polarization value in PbTiO₃6,7. In contrast to a homogenous strain, a strain gradient is inversely proportional to the spatial scale and can increase by seven orders of magnitude when the system shrinks from macroscale (~1/m) to nanoscale (107/m)8. Therefore, flexoelectricity, the coupling between polarization and strain gradient, becomes a significant and even dominant effect at this nanoscale, and hence, potentially
+
+<--- Page Split --->
+
+induces novel physical phenomena that have attracted much attention9- 11. However, the simultaneous implementation of strain and strain- gradient engineering is traditionally subject to the specifications of substrates or epitaxial conditions, which largely restrict the tunability and scalability of strains and strain gradients. The recently developed sacrificial buffer- layer technique using water- soluble \(\mathrm{Sr_3Al_2O_6}\) (SAO) provides a reliable method to synthesize high- quality freestanding thin perovskite oxides12. The structural stability of these perovskite oxides such as \(\mathrm{BiFeO_3}\) (BFO) and \(\mathrm{SrTiO_3}\) (STO) has been demonstrated in previous work13. Benefitting from the excellent flexibility of these oxides14, nanoscale mechanical bending offers a new approach in strain and strain- gradient engineering. Given that the freestanding oxides are only a few nanometers thick, they are able to generate a huge strain gradient during bending, which may induce an enhanced polarization. Additionally, these unconventional low- dimensional systems may stimulate other novel physical and mechanical responses via electromechanical coupling effects (i.e., piezoelectricity and flexoelectricity)8, similar to their bulk counterparts, which are known to exhibit a multitude of physical properties15.
+
+In addition to the novel strain- induced electrical properties of perovskite oxides16,17, recent studies have found some interesting mechanical properties arising from the interplay between piezoelectricity and flexoelectricity18- 20 which implies that mechanical responses can be modulated via strain gradients. With this interplay in freestanding ultrathin films (several- unit- cell thickness), more interesting mechanical phenomena are expected in the presence of a huge strain gradient ( \(\sim 10^7 \mathrm{m}^{- 1}\) ) at small
+
+<--- Page Split --->
+
+scales.
+
+In this work, we report remarkable polarization enhancements in high- quality flexible freestanding perovskite oxides of polar BFO and nonpolar STO subject to ultrahigh strain gradients up to \(10^{7}\mathrm{m}^{- 1}\) or more, revealing that the flexoelectricity plays a dominant role in determining the polarization at nanoscale. More interestingly, in addition to this enhanced polarization in BFO membranes, our results uncover unusual mechanical properties featuring bending- expansion/shrinkage effect. This is different from the elasticity theory, in which the thickness keeps constant in bent single- phase membranes. Furthermore, our analysis reveals the irregular mechanical phenomena to be driven by an interplay between flexoelectricity and piezoelectricity. Our results expose novel physical properties in bent freestanding perovskite oxides. Moreover, a new area of nanoscience is opening up allowing the tuning of electromechanical behaviors via giant strain gradients at the atomic scale that is crucial in the related research and potential applications of nano- electromechanical systems.
+
+Freestanding ultrathin BFO and STO ( \(\sim 5\mathrm{nm}\) thickness) with corrugations were fabricated (Fig. 1a) and further prepared as cross- sectional transmission electron microscopy (TEM) samples (details in Methods and Figs. S1- 4). Atomic- resolution scanning TEM high- angle annular dark- field (STEM- HAADF) images of BFO (Fig. 1c- e) and STO (Fig. 2a- c) were acquired from different bent regions. The lattice structures have maintained their integrity and continuity without any obvious rupture even under a strain up to \(7.8\%\) and \(2.7\%\) at surfaces in the BFO and STO membranes, indicating the high flexibility of freestanding thin perovskite oxides (for STO, higher
+
+<--- Page Split --->
+
+strain has also been observed as shown in Fig. S5). We observed a huge strain gradient \(\epsilon_{xx,z}\) arising from a considerable change in the in-plane strain corresponding to variations in lattice spacings \(a\) (Figs. 1f-h, 2d-f) across the membrane in the nanometer range. Here, we call the surface of a bent membrane facing toward the center of curvature (Fig. S6) the internal surface (IS), which is subject to the compressive in-plane strain (negative values), and the opposing surface the external surface (ES), which is subject to the tensile in-plane strain (positive values). The maximum strain gradient of the BFO (Fig. 1e) and STO (Fig. 2c) membranes are up to \(\sim 3.5 \times 10^{7} \mathrm{m}^{- 1}\) and \(\sim 1.5 \times 10^{7} \mathrm{m}^{- 1}\) respectively, which are nearly one order of magnitude larger than that generated in the epitaxial films \((10^{5} - 10^{6} \mathrm{m}^{- 1})^{9,10,21}\) . Although similar strain gradients were observed just under the tip of an atomic force microscope \((10^{6} - 2 \times 10^{7} \mathrm{m}^{- 1})^{22,23}\) , the uniformity of this huge strain gradient across the entire thickness range is a unique property of the bent freestanding membranes, which offers better tunability in flexoelectric applications.
+
+The polarization evolution (marked by yellow arrows in Fig. 1c- e and Fig. 2a- c according to B- site cation displacement) in BFO and STO membranes are associated with the lattice distortions. To understand the relationship between the enhanced strain gradient and the corresponding polarization at the nanoscale, quantitative probing of the polarization at single unit cell level is essential but remains challenging. Here, we used a widely accepted empirical method assuming that the polarization magnitude in \(\mathrm{ABO_3}\) perovskites is proportional to the off- centering displacement \((\delta z)\) of the B site cation with respect to the center of four surrounding A site cations (Fig. S7b) \(^{7,24 - 26}\) . This
+
+<--- Page Split --->
+
+simple yet direct semiquantitative method exhibits a widely acceptable accuracy even for large polarization up to \(236~\mu \mathrm{C / cm^2}\) in previous study7. A recently developed integrated differential phase contrast (iDPC) imaging method was applied to demonstrate the possible position of oxygen octahedrons27 and indicated that the B- site cations displacements is able to reveal the variational trends of polarizations faithfully (middle insets in Figs. 1c- e, 2a- c). In addition, we performed the first- principles calculations to investigate the polarization evolution of bulk BFO with corresponding \(\delta z\) . The result shows an almost linear relationship between the polarization and off- centering displacement \(\delta z\) of the B site cation, even in the large displacement value of 1.1 Å (details in Methods and Fig. S8), suggesting the rationality of polarization calculation based on the cation off- centering displacement.
+
+In unstrained ferroelectric BFO, we found the off- centering displacement of Fe cations ( \(\delta z\) - Fe) to be oriented diagonally and the magnitude of the out- of- plane displacement to be nearly uniform across the membrane (inset in Fig. 1b and Fig. S3, S7). However, after bending, the off- centering displacement are oriented mostly along the thickness direction and decrease from the ES (tensile in- plane strain) to the IS (compressive in- plane strain); see Fig. 1c- h and Fig. S9. Interestingly, for the bent freestanding STO, the Ti cations also undergo an off- centering displacement ( \(\delta z\) - Ti) oriented along the thickness direction, as shown in Fig. 2a- c. Unlike the BFO cases, the displacement \(\delta z\) - Ti in STO remains almost constant across the membrane thickness, and increases with increasing strain gradient (Fig. S10).
+
+With the off- centering displacement of B- site cations measured from the STEM
+
+<--- Page Split --->
+
+iDPC images, we obtained the polarization distributions along the thickness direction in bent freestanding BFO and STO membranes (Fig. S11). Several features were noted: 1) the larger strain and strain gradient will subsequently produce larger polarizations in both BFO and STO. 2) The bent STO has a near uniform distribution in polarization across the membrane (Figs. 2a-c, S11), while the bent BFO for which the polarization increases from the IS to the ES possibly arising from its piezoelectricity. This is confirmed from our phase-field simulations (Fig. S12). and 3) the maximum polarization occurs in a bent membrane that possessing the largest strain gradient. For example, for the bent BFO under a strain gradient of \(3.5 \times 10^{7} \mathrm{m}^{-1}\) , the maximum polarization reached was approximately \(149.7 \pm 6.3 \mu \mathrm{C} / \mathrm{cm}^{2}\) in magnitude at the external layer (Fig. S13), which is 2.8 times stronger than the spontaneous polarization of \(52.7 \pm 7.5 \mu \mathrm{C} / \mathrm{cm}^{2}\) measured from the unstrained BFO membrane (Fig. S3b). This magnitude is larger than that in a tetragonal-like BFO film ( \(130 \mu \mathrm{C} / \mathrm{cm}^{2}\) ). Besides, for the bent STO with a strain gradient up to \(1.5 \times 10^{7} \mathrm{m}^{-1}\) , its polarization magnitude reaches \(\sim 33.2 \pm 1.2 \mu \mathrm{C} / \mathrm{cm}^{2}\) cross the membrane thickness (Figs. 3b, S11).
+
+The enhanced polarization observed in these bent freestanding perovskite oxides should be attributed to the strain- induced piezoelectricity (polar BFO) and strain gradient- induced flexoelectricity (both polar BFO and nonpolar STO); in particular, the latter provides a major contribution in such extreme strain- gradient conditions. The total out- of- plane polarization \(P_{z}\) origins from out- of- plane spontaneous \(P_{s\perp}\) , piezoelectric and flexoelectric polarizations; that is, \(P_{z} = P_{s\perp} + \tilde{e}_{zxx}\epsilon_{xx} + \tilde{\mu}_{zxxz}\epsilon_{xx,z}\) , where \(\tilde{e}_{zxx}\) and \(\tilde{\mu}_{zxxz}\) are the coefficients of the effective transverse piezoelectricity
+
+<--- Page Split --->
+
+and flexoelectricity, and \(\epsilon_{xx}\) and \(\epsilon_{xx,z}\) are the in-plane strain and its gradient along the thickness direction. In the calculations of polarizations and strain gradients throughout this work, we define the \([00\bar{1}]\) crystal direction of the membranes as the positive direction (Figs. 1 and 2); further details are given in Fig. S6.
+
+For simplification, the neutral layer where its in- plane strain is near zero ( \(\epsilon_{xx} = 0\) ) is chosen in the analysis of the flexoelectric polarization to strain gradient. The polarization at neutral layer \(P_{z - \mathrm{NL}}\) is deduced as \(P_{z} = P_{s\perp} + \tilde{\mu}_{zxxz}\epsilon_{xx,z}\) . The neutral layer polarization \(P_{z - \mathrm{NL}}\) of BFO increases almost linearly with the enhancement of strain gradient, as shown in Fig. 3a. Note that the flexoelectric contribution to polarization is more pronounced as the strain gradient increases. In particular, when the strain gradient reaches \(3.5 \times 10^{7} \mathrm{~m}^{- 1}\) , flexoelectricity offers more than \(50 \%\) enhancement of the polarization at neutral layer. This pronounced flexoelectric polarization thus contributes \(\sim 47.3 \%\) of the maximum polarization at external layer of bent BFO (Fig. S13). The effective transverse flexoelectric coefficient \(\tilde{\mu}_{zxxz}\) was calculated as \(- 19.0 \pm 1.7 \mathrm{nC / m}\) with the slope of the fitted line of Fig. 3a. The negative sign of coefficient indicates that the direction of the flexoelectric polarization is opposite to the strain gradient and always points towards the center of curvature (see Fig. S6). For bent nonpolar STO, the polarization entirely contribute from the flexoelectricity, which also exhibits the similar strain gradient- dependent trend as in bent BFO (Fig. 3b). The flexoelectric coefficient \(\tilde{\mu}_{zxxz}\) of STO was calculated as \(- 21.3 \pm 3.7 \mathrm{nC / m}\) . Besides, under the huge strain gradient, a slight nonlinear flexoelectric effect can be observed. The magnitude of these coefficients matches well with those of other ferroelectric materials predicted from the
+
+<--- Page Split --->
+
+first- principles methods11. In summary, since a bent perovskite oxide membrane is capable of accommodating huge strain gradients, the corresponding flexoelectric polarization can be large enough to dominate the localized polarization.
+
+The huge strain gradient in bent freestanding perovskites not only induces an enhanced polarization, but also drives an unusual "bending- expansion" behavior. Classical elastic bending theory assumes that the in- plane and out- of- plane strains have antisymmetric distributions across the bent membrane (Fig. 3c). Indeed, the strain distributions of \(\epsilon_{xx}\) and \(\epsilon_{zz}\) in bent STO (Figs. 2d- f, S15), as well as the in- plane strain \(\epsilon_{xx}\) in bent BFO (Figs. 1f- h, S14a- c), roughly agree with this theory despite the thickness of these membranes being only several nanometers. However, the out- of- plane strain \(\epsilon_{zz}\) in bent BFO was found to be significantly asymmetric (Figs. 1f- h, S14d- f). The tensile strain region (triangle area in yellow color) becomes much larger than the compressive strain region (triangle area in blue color) as the strain gradient increases (Fig. S14d- f). The tensile strain region almost dominates across the membrane when the strain gradient is up to \(3.5 \times 10^{7} \mathrm{~m}^{- 1}\) as shown in Fig. 3e. In consequence, this asymmetric out- of- plane strain distribution induces an abnormal change in membrane thickness under bending (herein, referred to as flexoexpansion or flexoshrinkage). The mean lattice spacing \(c\) in bent BFO indeed increases (flexoexpansion) under a positive strain gradient, but remains constant in bent STO duo to its symmetric strain distributions (Fig. 3f). The change in BFO membrane thickness is proportional to the strain gradient, leading to the overall thickness of BFO increases by \(6.8 \%\) as the strain gradient reaches \(3.5 \times 10^{7} \mathrm{~m}^{- 1}\) .
+
+<--- Page Split --->
+
+To explain the flexoexpansion in bent BFO, we developed an electromechanical model (details are given in Methods). The expression for the thickness of the bent membrane \(h\) is as follows:
+
+\[h = (A\epsilon_{xx,z} + 1)h_0, \quad (1)\]
+
+\[A = \frac{d_{xx}F_{zzz} - d_{zzz}F_{xxz}}{s_{xxx}k_{zz} - d_{xx}^2}, \quad (2)\]
+
+where \(h_0\) denotes the thickness of the flat membrane, \(s_{ijkl}\) , \(d_{ijk}\) , \(F_{ijkl}\) , and \(k_{ij}\) denote the elastic compliance, piezoelectric, flexoelectric, and dielectric tensor, respectively. From equations (1) and (2), the thickness depends linearly on the strain gradient. These abnormal trends exhibit a dependence on coefficient \(A\) , which is nonzero only when the material manifests piezoelectric and flexoelectric effects simultaneously. Our model indicates that the interplay between flexoelectricity and piezoelectricity provides a biased electromechanical out- of- plane strain, which is explained in detail in Methods. This explains why BFO shows a flexoexpansion effect, but STO does not due to its lack of a piezoelectric effect.
+
+A value for the linear coefficient \(A\) of \(1.7 \pm 0.2 \mathrm{nm}\) for BFO was obtained by fitting equation (1) to the data (Fig. 3f). This value of \(A = 1.7 \mathrm{nm}\) indicates that the thickness varies by \(1.7 \%\) per \(1 \times 10^{7} \mathrm{m}^{- 1}\) of strain gradients and also explains why flexoexpansion has never been observed at the macroscopic scale, on which the strain gradient normally is only of order \(10 \mathrm{m}^{- 1}\) . When the membrane is bending in the \([00\bar{1}]\) direction (i.e., positive \(z\) direction; see Fig. S6), the sign of the strain gradient \(\epsilon_{xx,z}\) is reversed as the strain decreases along the \([00\bar{1}]\) direction. Therefore, in accordance with equation (1), the thickness of the membrane becomes shortened (flexoshrinkage). Both
+
+<--- Page Split --->
+
+flexoexpansion and flexoshrinkage can be predicted from a theoretical perspective (Fig. 4a- f). In the experiment, we indeed, also found flexoshrinkage occurring in an oppositely bent BFO membrane (Figs. 4h, j, S17), while the positive bent BFO remains flexoexpansion (Figs. 4g, i, S16), thereby validating our model. Interestingly, this asymmetrically distributed out- of- plane strain (Figs. 4j, S17c) is inversely symmetric with those for upwardly bent membranes (Figs. 3e, S14d- f). The expansion or shrinkage across the membranes in different bending directions indicates that the polar freestanding oxides possess an asymmetric bending rigidity, which must be taken into account in future studies and applications.
+
+The freestanding perovskite oxides exhibit an exceptional flexibility and capability to accommodate a giant strain gradient. The flexoelectric polarization becomes so predominant at atomic scale, that the strain gradient engineering, offers a new path toward manipulating electrical and mechanical behaviors in these strongly correlated two- dimensional materials as future potential building blocks in multifunctional flexible electronics29- 31 and nanomachines2. For example, the strong strain gradient within self- rolling heterostructures provides a powerful tool of flexoelectric polarization for designing novel energy harvesters and field- effect transistors32,33. Furthermore, the enhanced flexoelectric polarization opens a door for the application of intrinsic nonpolar materials in polarity- dependent electronics. We also discovered in experiments that the interplay between flexoelectricity and piezoelectricity leads to an asymmetric change in bending- thickness with respect to the sign of the spontaneous polarization in low- dimensional polar material. This flexoexpansion enhances the
+
+<--- Page Split --->
+
+bending rigidity, which is related to the membrane thickness, and this behavior is reversible by switching the polarization that induces flexoshrinkage. The unusual mechanical property is expected to make BFO and other ferroelectric membranes effective smart mechanical materials \(^{18}\) and strongly influence nano-mechanical performances regarding, for example, the vibration, fracture, and wrinkling modes that play a crucial role in applications of nano-electromechanical systems and three- dimensional self-assembled nano- structures \(^{34,35}\) .
+
+<--- Page Split --->
+
+## References
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+
+<--- Page Split --->
+
+## Methods
+
+Epitaxial Film Growth and Transfer. Water- soluble SAO layer was grown first on (001) STO single crystalline substrate followed by the growth of a thin film (STO or BFO) by Oxide- MBE. The SAO films were grown with an oxidant (10% O3 and 90% O2) background pressure \(p_{O_2}\) of \(1 \times 10^{- 6}\) Torr and at a substrate temperature \(T_g\) of \(750^{\circ}\mathrm{C}\) . The STO films were grown with \(p_{O_2} = 1 \times 10^{- 6}\) Torr and at \(T_{\text{substrate}} = 650^{\circ}\mathrm{C}\) . The SAO and STO films were grown in a layer- by- layer growth mode, for which the thickness was monitored by RHEED oscillations. The BFO films were grown with an oxidant (distilled O3) background pressure of \(1 \times 10^{- 5}\) Torr and at \(T_{\text{substrate}} = 380^{\circ}\mathrm{C}\) . Due to the volatile of bismuth, BFO films were grown in adsorption controlled mode with a fixed Bi:Fe flux ratio of 7:1 and the thickness was controlled by shutter time of iron. Electron beam of RHEED was blanked during the growth of BFO films to improve the film quality. To transfer the freestanding oxide film to silicon substrate, the sample was adhered onto PDMS or silicone/PET and released in the same manner. After dissolving in water, the film/PDMS or film PET/silicone/PET was attached onto the new substrate. Finally, the freestanding film remained on the new substrate after peeling off the PDMS or silicone/PET. After a mechanical transfer procedure, some regions of freestanding films exhibit regular wrinkled structure. These wrinkle stripes have a typical width of several hundred nanometers with a height at same level.
+
+TEM Cross- sectional Sample Preparation and SEM imaging. High quality cross- sectional samples were fabricated by focused ion beam (FIB) technique using FEI
+
+<--- Page Split --->
+
+Helios 600i dual- beam system. Firstly, the regions of wrinkles along [100] or [010] direction on a transferred freestanding perovskite oxide film were located using SEM. Secondly, a \(300\mathrm{nm}\) thick Pt protection layer was deposited on the freestanding film surface using an electron beam of \(5.5\mathrm{nA}\) current at an accelerating voltage of \(2\mathrm{kV}\) and followed by a \(3\mu \mathrm{m}\) thick deposited Pt protection layer with a gallium ion beam. Thirdly, cross- sectional lamellas were formed by gallium ion beam etch and then transferred onto TEM grids by in- situ lift- out system. The cross- sectional lamellas were further thinned by gallium ion beam at an accelerating voltage of \(30\mathrm{kV}\) with \(0.79\mathrm{nA}\) to \(80\mathrm{pA}\) beam current. Finally, a gentle ion milling procedure using a \(2\mathrm{kV}\) accelerating voltage with a beam current of several tens pico amps was employed to reduce the superficial amorphous layers induced by ion implantation damage. SEM images were acquired on FEI Helios 600i dual- beam system using an electron beam of \(43\mathrm{pA}\) current at an accelerating voltage of \(2\mathrm{kV}\) .
+
+STEM imaging methods and data processing. Atomic resolution STEM- HAADF images were obtained on a double aberration- corrected S/TEM Thermofisher Spectra \(300\mathrm{at}300\mathrm{kV}\) with a field emission gun. The probe convergence angle was \(24.5\mathrm{mrad}\) , and the angular range of the HAADF detector was from \(79.5\mathrm{mrad}\) to \(200\mathrm{mrad}\) . iDPC data were also collected on the same microscope with a \(24.5\mathrm{mrad}\) convergence angle using 8 segments annular detector, which exhibits a higher contrast on oxygen anions. 4D- STEM data in Fig. S7 were collected on a double aberration- corrected S/TEM Thermofisher Titan G2 at \(300\mathrm{kV}\) with a \(22.5\mathrm{mrad}\) convergence angle. The diffraction
+
+<--- Page Split --->
+
+patterns of the 4D- STEM datasets were recorded with a \(128 \times 128\) pixel array detector (EMPAD) at an acquisition rate of 1000 frames per second. The scanning area of \(2.6 \times 2.6\) nm was acquired with a scanning step size of \(0.2 \AA\) . Maximum collection semi- angle of the EMPAD detector was 67 mrad.
+
+A center of mass (COM) signal image can be obtained directly as the center of mass motion is calculated from each diffraction pattern in the 4D- STEM dataset. A differentiated COM (dCOM) signal image is generated by calculating the divergence of the COM image36.
+
+Lattice and polarization measurements. To determine the atom position from the STEM images, we extracted the intensity line profile of each unit cell layers and define the position with the highest intensity in a single atom region as the center of this atom. Then we use this position to calculate the space between two neighbored A- site cations and get the lattice spacing (Figs. S9, 10). For the mapping of strain distribution, we use Gaussian Fitting to find the positions of A- site cations and automatically calculate the relative spacing of neighbored cation on in- plane and out- of- plane directions. The divergence between these spacing values to reference values on unstrained state can be calculated as corresponding strain magnitude.
+
+For semiquantitative analysis out- of- plane polarization based on the STEM- iDPC images, we used the relative displacement of B site cation column to center of nearest four A site cation columns (Fig. S7b). The procedure was based on the empirical formula \(P = k\delta z\) , where \(P\) is the polarization, \(k\) is an empirical constant fitted from
+
+<--- Page Split --->
+
+macroscopic measurement of corresponding ferroelectric materials, \(\delta z\) is the displacement of B site cation to A site cations.
+
+Calculation of flexoelectric coefficient. In this study, the total out- of- plane polarization \(P_{z}\) measured in bent BFO membrane can be simplified as the sum of the out- of- plane spontaneous polarization \(P_{s\perp}\) , the piezoelectric polarization caused by strain and the flexoelectric polarization driven by strain gradient:
+
+\[\begin{array}{c}{P_{z} = P_{s\perp} + e_{zxx}\epsilon_{xx} + e_{zzz}\epsilon_{zz} + \mu_{zxx}\epsilon_{xx,z} + \mu_{zzz}\epsilon_{zz,z}.}\\ {= P_{s\perp} + \widetilde{e}_{zxx}\epsilon_{xx} + \widetilde{\mu}_{zxx}\epsilon_{xx,z}.} \end{array} \quad (S1)\]
+
+The subscript " \(\perp\) " represents the polarization component along the \(z\) - axis direction. We used the effective transverse electromechanical coefficients \(\widetilde{e}_{zxx} = e_{zxx} - \nu_{zx}e_{zzz}\) and \(\widetilde{\mu}_{zxx} = \mu_{zxx} - \nu_{zx}\mu_{zzz}\) (where \(\nu_{zx}\) is Poisson's ratio) to characterize the piezoelectric and flexoelectric effect, respectively. \(\epsilon_{xx}\) and \(\epsilon_{xx,z}\) are the in-plane strain and its gradient along the \(z\) - axis direction, respectively.
+
+The in- plane strain \(\epsilon_{xx}\) is approximated as anti- symmetrically distributed along the \(z\) - axis direction in bent membrane (Fig. 3d and Fig. S14), so the neutral layer (NL) of bent membrane in which there is no in- plane strain ( \(\epsilon_{xx} = 0\) ) has no piezoelectric polarization. The equation (S1) for the neutral layer can be simplified as
+
+\[P_{z - NL} = P_{s\perp} + \widetilde{\mu}_{zxx}\epsilon_{xx,z}. \quad (S2)\]
+
+Thus, the flexoelectric coefficient \(\widetilde{\mu}_{zxxz}\) can be determined by fitting the polarization at neutral layer and strain gradient. As shown from experiment observation (Figs. S14, 15), the strain is almost linearly distributed along thickness direction, suggesting the strain gradient is nearly constant.
+
+<--- Page Split --->
+
+Theoretical analysis for irregular mechanical property. The flexoelectric theoretical framework for dielectrics is applied to investigate the mechanism underlying the bending- expansion or - shrinking behavior in BFO membrane. Taking the piezoelectric and flexoelectric effect into account, the expression for the Gibbs free energy density of dielectrics can be written as \(^{37,38}\)
+
+\[G = \frac{1}{2} k_{ij}E_iE_j + \frac{1}{2} s_{ijkl}\sigma_{ij}\sigma_{kl} + d_{klj}\sigma_{ij}E_k + F_{klij}(E_k\frac{\partial\sigma_{ij}}{\partial x_l} -\sigma_{ij}\frac{\partial E_k}{\partial x_l}) - D_iE_i - \sigma_{ij}\epsilon_{ij}, \quad (S3)\]
+
+where \(E_i\) and \(D_i\) are the electric field and the electric displacement tensors, respectively; \(\sigma_{ij}\) and \(\epsilon_{ij}\) are the stress and the strain tensors; \(k_{ij}\) , \(s_{ijkl}\) , \(d_{ijkl}\) and \(F_{ijkl}\) are the second- rank dielectric permittivity tensor, the fourth- rank elastic compliance tensor, the third- rank piezoelectric coupling tensor, and the fourth- rank flexoelectric coupling tensor, respectively.
+
+The electromechanical constitutive equations can be obtained by minimizing the Gibbs free energy:
+
+\[\begin{array}{l}{{D_{k}=k_{kl}E_{l}+d_{klj}\sigma_{ij}+F_{klij}\frac{\partial\sigma_{ij}}{\partial x_{l}},}}\\ {{{}}}\\ {{{\epsilon_{ij}=s_{ijkl}\sigma_{kl}+d_{klj}E_{k}-F_{klij}\frac{\partial E_{k}}{\partial x_{l}}.}}}\end{array} \quad (S5)\]
+
+The total polarization of each lattice almost points to the \(z\) - axis direction. According to the Gauss's law, the electric displacement along the \(z\) - axis direction should satisfy the following equation:
+
+\[D_{z,z} = 0. \quad (S6)\]
+
+Substituting equation (S4) into equation (S6), the electric field and its gradient along the \(z\) - axis direction induced by bending can be obtained:
+
+<--- Page Split --->
+
+\[E_{z} = -\frac{d_{zxx}}{k_{zz}}\sigma_{xx} - \frac{F_{zxx}}{k_{zz}}\frac{\partial\sigma_{xx}}{\partial x_{z}}, \quad (S7)\]
+
+\[\frac{\partial E_z}{\partial x_z} = -\frac{d_{zxx}}{k_{zz}}\frac{\partial\sigma_{xx}}{\partial x_z} -\frac{F_{zxx}}{k_{zz}}\frac{\partial^2\sigma_{xx}}{\partial x_z^2}. \quad (S8)\]
+
+From equations (S7) - (S8), the flexoelectric effect produces a bias electric field, while piezoelectric effect induces an electric field gradient across the BFO membranes. Substituting equations (S7) - (S8) into equation (S5), the in-plane strain and out- of- plane strain are derivate as:
+
+\[\epsilon_{xx} = (s_{xxxx} - \frac{d_{zxx}^{2}}{k_{zz}})\sigma_{xx} + \frac{F_{zxx}^{2}}{k_{zz}}\frac{\partial^{2}\sigma_{xx}}{\partial x_{z}^{2}}, \quad (S9)\]
+
+\[\epsilon_{zz} = (s_{zxx} - \frac{d_{zxx}}{k_{zz}} d_{zxx})\sigma_{xx} + \frac{d_{zxx}F_{zxx}}{k_{zz}} -d_{zxx}\frac{F_{zxx}}{k_{zz}}\frac{\partial\sigma_{xx}}{\partial x_{z}} +\frac{F_{zxx}F_{zxx}}{k_{zz}}\frac{\partial^{2}\sigma_{xx}}{\partial x_{z}^{2}}. \quad (S10)\]
+
+According to the experiments' results, the in- plane strain \(\epsilon_{ij}\) is approximated as antisymmetrically distributed along the \(z\) - axis direction in bent BFO membrane (Fig. 3d and Figs. S14, 15), implying that the second term at the right side of equation (S9) can be ignored. Therefore, the in- plane stress \(\sigma_{ij}\) is considered as anti- symmetrically and linearly distributing along the \(z\) - axis direction for the sake of satisfying the stress equilibrium. To simplify the derivation, the second term in equation (S9) and the third term in equation (S10) are neglected in following derivation.
+
+Equation (S10) indicates that the coupling of flexoelectricity and piezoelectricity provides a bias electromechanical out- of- plane strain, which essentially consists of two parts: the nanoscale enhanced flexoelectric effect triggers a large out- of- plane electric field, leading to an extra out- of- plane strain by the inverse piezoelectric effect; also the piezoelectric effect results in a large electric field gradient, which generates another
+
+<--- Page Split --->
+
+extra out- of- plane strain by the inverse flexoelectric effect.
+
+The relationship between the thickness and strain gradient is obtained by combining equations (S9) and (S10):
+
+\[h = (Ae_{xx,z} + 1)h_0, \quad (S11)\]
+
+\[A = \frac{d_{xx}F_{zzz} - d_{zzz}F_{zxx}}{s_{xxx}k_{zz} - d_{xx}^{2}}, \quad (S12)\]
+
+where \(h_0\) denotes the thickness of the flat membrane. Based on the experimental results (Fig. 3f), the coupling coefficient \(A\) of BFO membrane are calculated as \(1.7 \pm 0.2 \mathrm{~nm}\) , without using all the tensor components in equation (S12), the measurement of which are challenging to obtain at the nanoscale.
+
+The Phase- field Computational Methods. Phase- field simulations were performed to investigate the polarization state in the bent BFO membranes. The temporal evolution of the polarization field is described by the time- dependent Ginzburg- Landau (TDGL) equations:
+
+\[\frac{\partial P(\boldsymbol {r},t)}{\partial t} = -L\frac{\partial F}{\partial P(\boldsymbol {r},t)},i = 1,2,3, \quad (S13)\]
+
+where \(P_{i}(r,t)\) is polarization, \(r\) is the spatial coordinate, \(t\) is the evolution time, \(L\) is the kinetic coefficient, and \(F\) is the total free energy that includes the contributions from the bulk energy, the Landau energy, the gradient energy and the flexoelectric field energy \(^{39}\) :
+
+\[F = \iiint (f_{bulk} + f_{Land} + f_{grad} + f_{flexo})dV. \quad (S14)\]
+
+The bulk energy density \(f_{bulk}\) is described as follows,
+
+<--- Page Split --->
+
+\[f_{bulk} = \frac{1}{2} c_{ijkl}(\epsilon_{ij} - \epsilon_{ij}^{0})(\epsilon_{kl} - \epsilon_{kl}^{0}) - \epsilon_{ijk}^{T}E_{k}(\epsilon_{ij} - \epsilon_{ij}^{0}) - \frac{1}{2}\epsilon_{0}\kappa_{ij}E_{i}E_{j}, \quad (S15)\]
+
+where \(c_{ijkl}\) and \(\epsilon_{ijk}^{T}\) are the elastic stiffness tensor and piezoelectric stiffness tensor, respectively. \(\epsilon_{ij}\) and \(\epsilon_{ij}^{0}\) are the total local strain and eigenstrain, respectively, \(E_{i}\) is the electric field component, \(\epsilon_{0}\) is the vacuum permittivity, and \(\kappa_{ij}\) is the background dielectric constant.
+
+The Landau energy density \(f_{Land}\) is expressed as:
+
+\[f_{Land} = \alpha_{ij}P_{i}P_{j} + \alpha_{ijkl}P_{i}P_{j}P_{k}P_{l}, \quad (S16)\]
+
+where \(\alpha_{ij}\) is the Landau energy coefficients. The gradient energy density \(f_{grad}\) is given by,
+
+\[f_{grad} = -\frac{1}{2} G_{ijkl}P_{i,j}P_{k,l} \quad (S17)\]
+
+where \(G_{ijkl}\) is the gradient energy coefficient. The flexoelectric field energy density \(f_{flexo}\) is given by,
+
+\[f_{flexo} = -E_{k}^{f}P_{k} \quad (S18)\]
+
+where \(E_{k}^{f} = -\frac{\delta f_{flexo}}{\delta P_{k}} = f_{ijkl}\frac{\partial \epsilon_{ij}}{\partial x_{l}}\) and \(f_{ijkl}\) is the flexoelectric coefficients40.
+
+In the simulations, the BFO membrane model was discretized at grid size 120 \(\Delta x \times 10 \Delta x\) , where \(\Delta x\) was set to 0.5 nm. The total thickness is about 5.0 nm, which is consistent with the thickness of the specimen measured in the experiments. The open circuit condition was applied along the boundaries \(z\) direction of the thin membrane, and the temperature was set to be 298 K. The Values of the parameters in the simulations are also listed in Table S1.41,42.
+
+<--- Page Split --->
+
+The First- Principles Calculations of BFO Polarization. The corresponding calculations were carried out by the generalized gradient approximation (GGA) method of Perdewe- Burke- Ernzerhof (PBE) \(^{43}\) based on density functional theory (DFT) implemented in the Vienna ab initio Simulation Package (VASP) \(^{44,45}\) . The cutoff energy for the plane wave basis set was tested and taken as \(500 \mathrm{eV}\) . Both lattice constants and atomic positions were relaxed until the forces on atoms were less than \(0.005 \mathrm{eV / \AA}\) , and the total energy change was less than \(10^{- 5} \mathrm{eV}\) . The polarization evolution of bulk BFO corresponding Fe- displacement (Fig. S8) was calculated by the Berry phase method \(^{46,47}\) .
+
+<--- Page Split --->
+
+## Acknowledgments
+
+This work was supported by the National Basic Research Program of China (grant 2015CB654901), the National Natural Science Foundation of China (grant: 11874199, 11774153, 1861161004), the International Cooperation and Exchange Program by NSFC (11911530174) and the Fundamental Research Funds for the Central Universities (020514380224, 14380167). J.W.H acknowledges support from the National Science Foundation of China (grant 12172047), Beijing Natural Science Foundation (Z190011) and the Technological Innovation Project of Beijing Institute of Technology. S.H.C. acknowledges the support of the General Research Fund (No. 15306021) from the Hong Kong Research Grant Council, the National Natural Science Foundation of China (Grant No. 12104381), the startup grants from the Department of Applied Physics, the Hong Kong Polytechnic University, Research Grants Council of Hong Kong (Project no. C5029- 18E) and the open subject of National Laboratory of Solid State Microstructures, Nanjing University (M34001). C.A. acknowledges support from the U.S. Department of Energy, Office of Basic Energy Science, Division of Materials Science and Engineering (DE- SC0014430). D.X.J. is supported by Program A for Outstanding Ph.D. candidate of Nanjing University (grant 201901A014). Y.Z.L. is supported by Graduate Technological Innovation Project of Beijing Institute of Technology (grant 2019CX20002). Theoretical calculations were performed using resources of the National Supercomputer Centre in Guangzhou.
+
+## Author contributions
+
+X.Q.P, P.W. and S.H.C supervised the STEM characterizations. Y.F.N. and Z.B.G. supervised the synthesis of epitaxial and freestanding films. J.W.H and X.Y.W supervised theoretical analysis and phase- field simulations. S.H.C. carried out SEM observation and prepared the TEM cross- sectional samples via FIB. S.H.C., D.X.J., C.C.Z. and M.G. carried out STEM experiments. S.H.C., Y.Z.L., P.L., D.X.J., Y.F.W. and S.G. carried out data analysis. Y.Z.L. and J.W.H. carried out theoretical analysis. C.Q.G. carried out phase- field simulations. P.L. carried out the first- principles calculations. D.X.J., Y.P.Z. and L.H. grew and transferred the freestanding perovskite oxides. S.H.C., Y.Z.L., P.L., P.W., J.W.H., X.Q.P., Y.F.N., D.X.J., C.A. and L.H. wrote and edited the manuscript. All authors discussed the data and contributed to the manuscript.
+
+<--- Page Split --->
+
+
+Fig. 1 | Bending behavior of BFO membranes. a, Scanning electron microscope (SEM) image of wrinkled freestanding BFO. Scale bar: \(1 \mu \mathrm{m}\) . b, Cross-sectional STEM-HAADF image of a single wrinkle in (a). Scale bar: \(100 \mathrm{nm}\) . Inset indicates the unstrained state taken from region 1 (marked by red square), where the spontaneous polarization has an upward out-of-plane component (yellow arrow). c-e, STEM-HAADF images (left) taken from the bent regions 1, 2, 3 in (b), respectively. The strain gradients \(\epsilon_{xx,z}\) are \(5.2 \times 10^{6} \mathrm{m}^{-1}\) , \(2.1 \times 10^{7} \mathrm{m}^{-1}\) and \(3.5 \times 10^{7} \mathrm{m}^{-1}\) , respectively. Middle STEM-iDPC images taken from yellow trapezoid regions show the position of Bi, Fe and O atomic columns. The variation of lattice and oxygen octahedral from the internal (IS) to external surfaces (ES) can be conjectured as shown in the right schematics. Scale bar: \(2 \mathrm{nm}\) . f-h, Corresponding mapping results of in-plane and out-of-plane strain distributions in bent regions marked by yellow trapezoids in (c-e), respectively.
+
+<--- Page Split --->
+
+
+Fig. 2 | Bending behavior of STO membranes. a-c, STEM-HAADF images (left) of bent STO taken from the different bent regions with a strain gradient \(\epsilon_{xx,z}\) of \(4.2 \times 10^{6} \mathrm{~m}^{-1}\) , \(9.7 \times 10^{6} \mathrm{~m}^{-1}\) and \(1.5 \times 10^{7} \mathrm{~m}^{-1}\) , respectively. Middle STEM-iDPC images taken from yellow trapezoid regions show the position of Sr, Ti and O atomic columns. The variation of lattice and oxygen octahedral from the internal (IS) to external surfaces (ES) can be conjectured as shown in the right schematics. Scale bar: \(2 \mathrm{~nm}\) . d-f, Corresponding mapping results of in-plane and out-of-plane strain distributions in bent regions marked by yellow trapezoids in (a-c), respectively.
+
+<--- Page Split --->
+
+
+Fig. 3 | Mechanical behavior of bent BFO and STO membranes. a-b, The out-of-plane polarizations at neutral layer and their corresponding strain gradients from the bent BFO and STO membranes, respectively. c, Schematic of the theoretical antisymmetric in-plane and out-of-plane strain distributions in the bent membrane. d, Antisymmetric in-plane and (e) asymmetric out-of-plane strain distributions in the bent BFO with a strain gradient of \(3.5 \times 10^{7} \mathrm{~m}^{-1}\) along the thickness direction. f, Mean lattice spacing \(c\) as a function of the strain gradient in the bent BFO and STO.
+
+<--- Page Split --->
+
+
+Fig. 4 | Flexoexpansion and flexoshrinkage effects in piezoelectric membranes. a-f, Simulated bending deformation of ferroelectric membranes (5 nm thickness) with different bending expansion coefficients \(A = 0.0\) (a, d), 2.5 (b, e), and 5.0 (c, f) when bent upward (a-c) and downward (d-f), given that the out-of-plane spontaneous polarization (yellow arrow) points upwards. g-h, The flexoexpansion and flexoshrinkage effects observed in upward (g) and downward (h) bent BFO, respectively. i, Strain mapping of trapezoid region in (g) shows the symmetric in-plane strain distribution and asymmetric out-of-plane strain distribution along the thickness direction. j, Strain mapping of trapezoid region in (h) shows the symmetric in-plane strain distribution and asymmetric out-of-plane strain distribution opposite with the case in (i).
+
+<--- Page Split --->
+
+## Supplementary Files
+
+This is a list of supplementary files associated with this preprint. Click to download.
+
+SupplementaryMaterials.pdf
+
+<--- Page Split --->
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@@ -0,0 +1,531 @@
+<|ref|>title<|/ref|><|det|>[[44, 106, 936, 176]]<|/det|>
+# Enhanced Polarization and abnormal flexural deformation in bent freestanding perovskite oxides
+
+<|ref|>text<|/ref|><|det|>[[44, 195, 388, 238]]<|/det|>
+Songhua Cai The Hong Kong Polytechnic University
+
+<|ref|>text<|/ref|><|det|>[[44, 243, 323, 284]]<|/det|>
+Yingzhuo Lun Beijing Institute of Technology
+
+<|ref|>text<|/ref|><|det|>[[44, 290, 746, 331]]<|/det|>
+Dianxiang Ji The Hong Kong Polytechnic University https://orcid.org/0000- 0002- 8334- 2043
+
+<|ref|>text<|/ref|><|det|>[[44, 336, 323, 377]]<|/det|>
+Peng Lv Beijing Institute of Technology
+
+<|ref|>text<|/ref|><|det|>[[44, 383, 216, 424]]<|/det|>
+Lu Han Nanjing University
+
+<|ref|>text<|/ref|><|det|>[[44, 430, 323, 470]]<|/det|>
+Changqing Guo Beijing Institute of Technology
+
+<|ref|>text<|/ref|><|det|>[[44, 476, 216, 516]]<|/det|>
+Yipeng Zang Nanjing University
+
+<|ref|>text<|/ref|><|det|>[[44, 522, 216, 562]]<|/det|>
+Si Gao Nanjing University
+
+<|ref|>text<|/ref|><|det|>[[44, 568, 216, 608]]<|/det|>
+Yifan Wei Nanjing University
+
+<|ref|>text<|/ref|><|det|>[[44, 614, 216, 654]]<|/det|>
+Min Gu Nanjing University
+
+<|ref|>text<|/ref|><|det|>[[44, 660, 216, 700]]<|/det|>
+Chunchen Zhang Nanjing University
+
+<|ref|>text<|/ref|><|det|>[[44, 706, 216, 746]]<|/det|>
+Zhenbin Gu Nanjing University
+
+<|ref|>text<|/ref|><|det|>[[44, 752, 676, 793]]<|/det|>
+Xueyun Wang Beijing Institute of Technology https://orcid.org/0000- 0001- 5264- 9539
+
+<|ref|>text<|/ref|><|det|>[[44, 799, 666, 840]]<|/det|>
+Christopher Addiego University of California, Irvine https://orcid.org/0000- 0001- 7966- 0121
+
+<|ref|>text<|/ref|><|det|>[[44, 845, 207, 886]]<|/det|>
+Daining Fang Peking University
+
+<|ref|>text<|/ref|><|det|>[[44, 892, 574, 932]]<|/det|>
+Yuefeng Nie Nanjing University https://orcid.org/0000- 0002- 9948- 9904
+
+<|ref|>text<|/ref|><|det|>[[44, 938, 173, 957]]<|/det|>
+Jiawang Hong
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[52, 45, 678, 66]]<|/det|>
+Beijing Institute of Technology https://orcid.org/0000- 0002- 9915- 8072
+
+<|ref|>text<|/ref|><|det|>[[44, 70, 670, 157]]<|/det|>
+Peng Wang University of Warwick https://orcid.org/0000- 0003- 0788- 6687Xiaoqing Pan ( xiaoqinp@uci.edu ) University of California, Irvine https://orcid.org/0000- 0002- 0965- 8568
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 199, 96, 216]]<|/det|>
+## Letter
+
+<|ref|>title<|/ref|><|det|>[[44, 237, 137, 255]]<|/det|>
+# Keywords:
+
+<|ref|>text<|/ref|><|det|>[[44, 274, 287, 294]]<|/det|>
+Posted Date: May 3rd, 2022
+
+<|ref|>text<|/ref|><|det|>[[43, 312, 474, 333]]<|/det|>
+DOI: https://doi.org/10.21203/rs.3.rs- 1594159/v1
+
+<|ref|>text<|/ref|><|det|>[[42, 350, 910, 393]]<|/det|>
+License: © This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+<|ref|>text<|/ref|><|det|>[[42, 427, 930, 471]]<|/det|>
+Version of Record: A version of this preprint was published at Nature Communications on August 31st, 2022. See the published version at https://doi.org/10.1038/s41467- 022- 32519- 2.
+
+<--- Page Split --->
+<|ref|>title<|/ref|><|det|>[[114, 100, 835, 159]]<|/det|>
+# Enhanced Polarization and abnormal flexural deformation in bent freestanding perovskite oxides
+
+<|ref|>text<|/ref|><|det|>[[113, 180, 844, 300]]<|/det|>
+Songhua Cai \(^{1,9,*}\) , Yingzhuo Lun \(^{2,9}\) , Dianxiang Ji \(^{1,9}\) , Peng Lv \(^{2}\) , Lu Han \(^{3}\) , Changqing Guo \(^{2}\) , Yipeng Zang \(^{3}\) , Si Gao \(^{3}\) , Yifan Wei \(^{3}\) , Min Gu \(^{3}\) , Chunchen Zhang \(^{3}\) , Zhengbin Gu \(^{3}\) , Xueyun Wang \(^{2}\) , Christopher Addiego \(^{6}\) , Daining Fang \(^{4,5}\) , Yuefeng Nie \(^{3,*}\) , Jiawang Hong \(^{2,*}\) , Peng Wang \(^{8,*}\) , Xiaoqing Pan \(^{6,7,*}\)
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[144, 94, 852, 522]]<|/det|>
+Recent realizations of ultrathin freestanding perovskite oxides offer a unique platform to probe novel properties in two- dimensional oxides. Here, we observed a giant flexoelectric response in freestanding BiFeO₃ and SrTiO₃ in their bent state arising from strain gradients up to 3.5×10⁷ m⁻¹, suggesting a promising approach for realizing extremely large polarizations. Additionally, a substantial change in membrane thickness was discovered in bent freestanding BiFeO₃, which implies an unusual bending- expansion/shrinkage effect in ferroelectric membrane that has never been seen before in crystalline materials. Our theoretical model reveals that this unprecedented flexural deformation within the membrane is attributable to a flexoelectricity- piezoelectricity interplay. The finding unveils intriguing nanoscale electromechanical properties and provides guidance for their practical applications in flexible nanoelectromechanical systems.
+
+<|ref|>text<|/ref|><|det|>[[144, 567, 852, 883]]<|/det|>
+Electromechanical properties of functional materials play a significant role in electronic devices1,2. For perovskite oxides with unique electromechanical functionalities, strain engineering can stimulate significant electronic phenomena3- 5, such as inducing polarization in the nonpolar material SrTiO₃ and attaining a record- high polarization value in PbTiO₃6,7. In contrast to a homogenous strain, a strain gradient is inversely proportional to the spatial scale and can increase by seven orders of magnitude when the system shrinks from macroscale (~1/m) to nanoscale (107/m)8. Therefore, flexoelectricity, the coupling between polarization and strain gradient, becomes a significant and even dominant effect at this nanoscale, and hence, potentially
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[144, 92, 852, 670]]<|/det|>
+induces novel physical phenomena that have attracted much attention9- 11. However, the simultaneous implementation of strain and strain- gradient engineering is traditionally subject to the specifications of substrates or epitaxial conditions, which largely restrict the tunability and scalability of strains and strain gradients. The recently developed sacrificial buffer- layer technique using water- soluble \(\mathrm{Sr_3Al_2O_6}\) (SAO) provides a reliable method to synthesize high- quality freestanding thin perovskite oxides12. The structural stability of these perovskite oxides such as \(\mathrm{BiFeO_3}\) (BFO) and \(\mathrm{SrTiO_3}\) (STO) has been demonstrated in previous work13. Benefitting from the excellent flexibility of these oxides14, nanoscale mechanical bending offers a new approach in strain and strain- gradient engineering. Given that the freestanding oxides are only a few nanometers thick, they are able to generate a huge strain gradient during bending, which may induce an enhanced polarization. Additionally, these unconventional low- dimensional systems may stimulate other novel physical and mechanical responses via electromechanical coupling effects (i.e., piezoelectricity and flexoelectricity)8, similar to their bulk counterparts, which are known to exhibit a multitude of physical properties15.
+
+<|ref|>text<|/ref|><|det|>[[144, 687, 852, 891]]<|/det|>
+In addition to the novel strain- induced electrical properties of perovskite oxides16,17, recent studies have found some interesting mechanical properties arising from the interplay between piezoelectricity and flexoelectricity18- 20 which implies that mechanical responses can be modulated via strain gradients. With this interplay in freestanding ultrathin films (several- unit- cell thickness), more interesting mechanical phenomena are expected in the presence of a huge strain gradient ( \(\sim 10^7 \mathrm{m}^{- 1}\) ) at small
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[145, 95, 203, 111]]<|/det|>
+scales.
+
+<|ref|>text<|/ref|><|det|>[[144, 130, 852, 595]]<|/det|>
+In this work, we report remarkable polarization enhancements in high- quality flexible freestanding perovskite oxides of polar BFO and nonpolar STO subject to ultrahigh strain gradients up to \(10^{7}\mathrm{m}^{- 1}\) or more, revealing that the flexoelectricity plays a dominant role in determining the polarization at nanoscale. More interestingly, in addition to this enhanced polarization in BFO membranes, our results uncover unusual mechanical properties featuring bending- expansion/shrinkage effect. This is different from the elasticity theory, in which the thickness keeps constant in bent single- phase membranes. Furthermore, our analysis reveals the irregular mechanical phenomena to be driven by an interplay between flexoelectricity and piezoelectricity. Our results expose novel physical properties in bent freestanding perovskite oxides. Moreover, a new area of nanoscience is opening up allowing the tuning of electromechanical behaviors via giant strain gradients at the atomic scale that is crucial in the related research and potential applications of nano- electromechanical systems.
+
+<|ref|>text<|/ref|><|det|>[[144, 611, 852, 891]]<|/det|>
+Freestanding ultrathin BFO and STO ( \(\sim 5\mathrm{nm}\) thickness) with corrugations were fabricated (Fig. 1a) and further prepared as cross- sectional transmission electron microscopy (TEM) samples (details in Methods and Figs. S1- 4). Atomic- resolution scanning TEM high- angle annular dark- field (STEM- HAADF) images of BFO (Fig. 1c- e) and STO (Fig. 2a- c) were acquired from different bent regions. The lattice structures have maintained their integrity and continuity without any obvious rupture even under a strain up to \(7.8\%\) and \(2.7\%\) at surfaces in the BFO and STO membranes, indicating the high flexibility of freestanding thin perovskite oxides (for STO, higher
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[144, 92, 852, 595]]<|/det|>
+strain has also been observed as shown in Fig. S5). We observed a huge strain gradient \(\epsilon_{xx,z}\) arising from a considerable change in the in-plane strain corresponding to variations in lattice spacings \(a\) (Figs. 1f-h, 2d-f) across the membrane in the nanometer range. Here, we call the surface of a bent membrane facing toward the center of curvature (Fig. S6) the internal surface (IS), which is subject to the compressive in-plane strain (negative values), and the opposing surface the external surface (ES), which is subject to the tensile in-plane strain (positive values). The maximum strain gradient of the BFO (Fig. 1e) and STO (Fig. 2c) membranes are up to \(\sim 3.5 \times 10^{7} \mathrm{m}^{- 1}\) and \(\sim 1.5 \times 10^{7} \mathrm{m}^{- 1}\) respectively, which are nearly one order of magnitude larger than that generated in the epitaxial films \((10^{5} - 10^{6} \mathrm{m}^{- 1})^{9,10,21}\) . Although similar strain gradients were observed just under the tip of an atomic force microscope \((10^{6} - 2 \times 10^{7} \mathrm{m}^{- 1})^{22,23}\) , the uniformity of this huge strain gradient across the entire thickness range is a unique property of the bent freestanding membranes, which offers better tunability in flexoelectric applications.
+
+<|ref|>text<|/ref|><|det|>[[144, 611, 853, 891]]<|/det|>
+The polarization evolution (marked by yellow arrows in Fig. 1c- e and Fig. 2a- c according to B- site cation displacement) in BFO and STO membranes are associated with the lattice distortions. To understand the relationship between the enhanced strain gradient and the corresponding polarization at the nanoscale, quantitative probing of the polarization at single unit cell level is essential but remains challenging. Here, we used a widely accepted empirical method assuming that the polarization magnitude in \(\mathrm{ABO_3}\) perovskites is proportional to the off- centering displacement \((\delta z)\) of the B site cation with respect to the center of four surrounding A site cations (Fig. S7b) \(^{7,24 - 26}\) . This
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[144, 94, 852, 485]]<|/det|>
+simple yet direct semiquantitative method exhibits a widely acceptable accuracy even for large polarization up to \(236~\mu \mathrm{C / cm^2}\) in previous study7. A recently developed integrated differential phase contrast (iDPC) imaging method was applied to demonstrate the possible position of oxygen octahedrons27 and indicated that the B- site cations displacements is able to reveal the variational trends of polarizations faithfully (middle insets in Figs. 1c- e, 2a- c). In addition, we performed the first- principles calculations to investigate the polarization evolution of bulk BFO with corresponding \(\delta z\) . The result shows an almost linear relationship between the polarization and off- centering displacement \(\delta z\) of the B site cation, even in the large displacement value of 1.1 Å (details in Methods and Fig. S8), suggesting the rationality of polarization calculation based on the cation off- centering displacement.
+
+<|ref|>text<|/ref|><|det|>[[144, 501, 852, 856]]<|/det|>
+In unstrained ferroelectric BFO, we found the off- centering displacement of Fe cations ( \(\delta z\) - Fe) to be oriented diagonally and the magnitude of the out- of- plane displacement to be nearly uniform across the membrane (inset in Fig. 1b and Fig. S3, S7). However, after bending, the off- centering displacement are oriented mostly along the thickness direction and decrease from the ES (tensile in- plane strain) to the IS (compressive in- plane strain); see Fig. 1c- h and Fig. S9. Interestingly, for the bent freestanding STO, the Ti cations also undergo an off- centering displacement ( \(\delta z\) - Ti) oriented along the thickness direction, as shown in Fig. 2a- c. Unlike the BFO cases, the displacement \(\delta z\) - Ti in STO remains almost constant across the membrane thickness, and increases with increasing strain gradient (Fig. S10).
+
+<|ref|>text<|/ref|><|det|>[[166, 871, 848, 890]]<|/det|>
+With the off- centering displacement of B- site cations measured from the STEM
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[144, 93, 852, 636]]<|/det|>
+iDPC images, we obtained the polarization distributions along the thickness direction in bent freestanding BFO and STO membranes (Fig. S11). Several features were noted: 1) the larger strain and strain gradient will subsequently produce larger polarizations in both BFO and STO. 2) The bent STO has a near uniform distribution in polarization across the membrane (Figs. 2a-c, S11), while the bent BFO for which the polarization increases from the IS to the ES possibly arising from its piezoelectricity. This is confirmed from our phase-field simulations (Fig. S12). and 3) the maximum polarization occurs in a bent membrane that possessing the largest strain gradient. For example, for the bent BFO under a strain gradient of \(3.5 \times 10^{7} \mathrm{m}^{-1}\) , the maximum polarization reached was approximately \(149.7 \pm 6.3 \mu \mathrm{C} / \mathrm{cm}^{2}\) in magnitude at the external layer (Fig. S13), which is 2.8 times stronger than the spontaneous polarization of \(52.7 \pm 7.5 \mu \mathrm{C} / \mathrm{cm}^{2}\) measured from the unstrained BFO membrane (Fig. S3b). This magnitude is larger than that in a tetragonal-like BFO film ( \(130 \mu \mathrm{C} / \mathrm{cm}^{2}\) ). Besides, for the bent STO with a strain gradient up to \(1.5 \times 10^{7} \mathrm{m}^{-1}\) , its polarization magnitude reaches \(\sim 33.2 \pm 1.2 \mu \mathrm{C} / \mathrm{cm}^{2}\) cross the membrane thickness (Figs. 3b, S11).
+
+<|ref|>text<|/ref|><|det|>[[144, 650, 852, 891]]<|/det|>
+The enhanced polarization observed in these bent freestanding perovskite oxides should be attributed to the strain- induced piezoelectricity (polar BFO) and strain gradient- induced flexoelectricity (both polar BFO and nonpolar STO); in particular, the latter provides a major contribution in such extreme strain- gradient conditions. The total out- of- plane polarization \(P_{z}\) origins from out- of- plane spontaneous \(P_{s\perp}\) , piezoelectric and flexoelectric polarizations; that is, \(P_{z} = P_{s\perp} + \tilde{e}_{zxx}\epsilon_{xx} + \tilde{\mu}_{zxxz}\epsilon_{xx,z}\) , where \(\tilde{e}_{zxx}\) and \(\tilde{\mu}_{zxxz}\) are the coefficients of the effective transverse piezoelectricity
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[145, 93, 852, 224]]<|/det|>
+and flexoelectricity, and \(\epsilon_{xx}\) and \(\epsilon_{xx,z}\) are the in-plane strain and its gradient along the thickness direction. In the calculations of polarizations and strain gradients throughout this work, we define the \([00\bar{1}]\) crystal direction of the membranes as the positive direction (Figs. 1 and 2); further details are given in Fig. S6.
+
+<|ref|>text<|/ref|><|det|>[[145, 240, 852, 896]]<|/det|>
+For simplification, the neutral layer where its in- plane strain is near zero ( \(\epsilon_{xx} = 0\) ) is chosen in the analysis of the flexoelectric polarization to strain gradient. The polarization at neutral layer \(P_{z - \mathrm{NL}}\) is deduced as \(P_{z} = P_{s\perp} + \tilde{\mu}_{zxxz}\epsilon_{xx,z}\) . The neutral layer polarization \(P_{z - \mathrm{NL}}\) of BFO increases almost linearly with the enhancement of strain gradient, as shown in Fig. 3a. Note that the flexoelectric contribution to polarization is more pronounced as the strain gradient increases. In particular, when the strain gradient reaches \(3.5 \times 10^{7} \mathrm{~m}^{- 1}\) , flexoelectricity offers more than \(50 \%\) enhancement of the polarization at neutral layer. This pronounced flexoelectric polarization thus contributes \(\sim 47.3 \%\) of the maximum polarization at external layer of bent BFO (Fig. S13). The effective transverse flexoelectric coefficient \(\tilde{\mu}_{zxxz}\) was calculated as \(- 19.0 \pm 1.7 \mathrm{nC / m}\) with the slope of the fitted line of Fig. 3a. The negative sign of coefficient indicates that the direction of the flexoelectric polarization is opposite to the strain gradient and always points towards the center of curvature (see Fig. S6). For bent nonpolar STO, the polarization entirely contribute from the flexoelectricity, which also exhibits the similar strain gradient- dependent trend as in bent BFO (Fig. 3b). The flexoelectric coefficient \(\tilde{\mu}_{zxxz}\) of STO was calculated as \(- 21.3 \pm 3.7 \mathrm{nC / m}\) . Besides, under the huge strain gradient, a slight nonlinear flexoelectric effect can be observed. The magnitude of these coefficients matches well with those of other ferroelectric materials predicted from the
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[144, 93, 851, 188]]<|/det|>
+first- principles methods11. In summary, since a bent perovskite oxide membrane is capable of accommodating huge strain gradients, the corresponding flexoelectric polarization can be large enough to dominate the localized polarization.
+
+<|ref|>text<|/ref|><|det|>[[144, 202, 852, 895]]<|/det|>
+The huge strain gradient in bent freestanding perovskites not only induces an enhanced polarization, but also drives an unusual "bending- expansion" behavior. Classical elastic bending theory assumes that the in- plane and out- of- plane strains have antisymmetric distributions across the bent membrane (Fig. 3c). Indeed, the strain distributions of \(\epsilon_{xx}\) and \(\epsilon_{zz}\) in bent STO (Figs. 2d- f, S15), as well as the in- plane strain \(\epsilon_{xx}\) in bent BFO (Figs. 1f- h, S14a- c), roughly agree with this theory despite the thickness of these membranes being only several nanometers. However, the out- of- plane strain \(\epsilon_{zz}\) in bent BFO was found to be significantly asymmetric (Figs. 1f- h, S14d- f). The tensile strain region (triangle area in yellow color) becomes much larger than the compressive strain region (triangle area in blue color) as the strain gradient increases (Fig. S14d- f). The tensile strain region almost dominates across the membrane when the strain gradient is up to \(3.5 \times 10^{7} \mathrm{~m}^{- 1}\) as shown in Fig. 3e. In consequence, this asymmetric out- of- plane strain distribution induces an abnormal change in membrane thickness under bending (herein, referred to as flexoexpansion or flexoshrinkage). The mean lattice spacing \(c\) in bent BFO indeed increases (flexoexpansion) under a positive strain gradient, but remains constant in bent STO duo to its symmetric strain distributions (Fig. 3f). The change in BFO membrane thickness is proportional to the strain gradient, leading to the overall thickness of BFO increases by \(6.8 \%\) as the strain gradient reaches \(3.5 \times 10^{7} \mathrm{~m}^{- 1}\) .
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[145, 94, 851, 187]]<|/det|>
+To explain the flexoexpansion in bent BFO, we developed an electromechanical model (details are given in Methods). The expression for the thickness of the bent membrane \(h\) is as follows:
+
+<|ref|>equation<|/ref|><|det|>[[427, 201, 848, 222]]<|/det|>
+\[h = (A\epsilon_{xx,z} + 1)h_0, \quad (1)\]
+
+<|ref|>equation<|/ref|><|det|>[[405, 238, 848, 280]]<|/det|>
+\[A = \frac{d_{xx}F_{zzz} - d_{zzz}F_{xxz}}{s_{xxx}k_{zz} - d_{xx}^2}, \quad (2)\]
+
+<|ref|>text<|/ref|><|det|>[[144, 297, 852, 613]]<|/det|>
+where \(h_0\) denotes the thickness of the flat membrane, \(s_{ijkl}\) , \(d_{ijk}\) , \(F_{ijkl}\) , and \(k_{ij}\) denote the elastic compliance, piezoelectric, flexoelectric, and dielectric tensor, respectively. From equations (1) and (2), the thickness depends linearly on the strain gradient. These abnormal trends exhibit a dependence on coefficient \(A\) , which is nonzero only when the material manifests piezoelectric and flexoelectric effects simultaneously. Our model indicates that the interplay between flexoelectricity and piezoelectricity provides a biased electromechanical out- of- plane strain, which is explained in detail in Methods. This explains why BFO shows a flexoexpansion effect, but STO does not due to its lack of a piezoelectric effect.
+
+<|ref|>text<|/ref|><|det|>[[144, 630, 852, 907]]<|/det|>
+A value for the linear coefficient \(A\) of \(1.7 \pm 0.2 \mathrm{nm}\) for BFO was obtained by fitting equation (1) to the data (Fig. 3f). This value of \(A = 1.7 \mathrm{nm}\) indicates that the thickness varies by \(1.7 \%\) per \(1 \times 10^{7} \mathrm{m}^{- 1}\) of strain gradients and also explains why flexoexpansion has never been observed at the macroscopic scale, on which the strain gradient normally is only of order \(10 \mathrm{m}^{- 1}\) . When the membrane is bending in the \([00\bar{1}]\) direction (i.e., positive \(z\) direction; see Fig. S6), the sign of the strain gradient \(\epsilon_{xx,z}\) is reversed as the strain decreases along the \([00\bar{1}]\) direction. Therefore, in accordance with equation (1), the thickness of the membrane becomes shortened (flexoshrinkage). Both
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[144, 93, 852, 410]]<|/det|>
+flexoexpansion and flexoshrinkage can be predicted from a theoretical perspective (Fig. 4a- f). In the experiment, we indeed, also found flexoshrinkage occurring in an oppositely bent BFO membrane (Figs. 4h, j, S17), while the positive bent BFO remains flexoexpansion (Figs. 4g, i, S16), thereby validating our model. Interestingly, this asymmetrically distributed out- of- plane strain (Figs. 4j, S17c) is inversely symmetric with those for upwardly bent membranes (Figs. 3e, S14d- f). The expansion or shrinkage across the membranes in different bending directions indicates that the polar freestanding oxides possess an asymmetric bending rigidity, which must be taken into account in future studies and applications.
+
+<|ref|>text<|/ref|><|det|>[[144, 433, 852, 899]]<|/det|>
+The freestanding perovskite oxides exhibit an exceptional flexibility and capability to accommodate a giant strain gradient. The flexoelectric polarization becomes so predominant at atomic scale, that the strain gradient engineering, offers a new path toward manipulating electrical and mechanical behaviors in these strongly correlated two- dimensional materials as future potential building blocks in multifunctional flexible electronics29- 31 and nanomachines2. For example, the strong strain gradient within self- rolling heterostructures provides a powerful tool of flexoelectric polarization for designing novel energy harvesters and field- effect transistors32,33. Furthermore, the enhanced flexoelectric polarization opens a door for the application of intrinsic nonpolar materials in polarity- dependent electronics. We also discovered in experiments that the interplay between flexoelectricity and piezoelectricity leads to an asymmetric change in bending- thickness with respect to the sign of the spontaneous polarization in low- dimensional polar material. This flexoexpansion enhances the
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[144, 92, 852, 336]]<|/det|>
+bending rigidity, which is related to the membrane thickness, and this behavior is reversible by switching the polarization that induces flexoshrinkage. The unusual mechanical property is expected to make BFO and other ferroelectric membranes effective smart mechanical materials \(^{18}\) and strongly influence nano-mechanical performances regarding, for example, the vibration, fracture, and wrinkling modes that play a crucial role in applications of nano-electromechanical systems and three- dimensional self-assembled nano- structures \(^{34,35}\) .
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[147, 94, 261, 113]]<|/det|>
+## References
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+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[147, 94, 240, 112]]<|/det|>
+## Methods
+
+<|ref|>text<|/ref|><|det|>[[145, 125, 854, 787]]<|/det|>
+Epitaxial Film Growth and Transfer. Water- soluble SAO layer was grown first on (001) STO single crystalline substrate followed by the growth of a thin film (STO or BFO) by Oxide- MBE. The SAO films were grown with an oxidant (10% O3 and 90% O2) background pressure \(p_{O_2}\) of \(1 \times 10^{- 6}\) Torr and at a substrate temperature \(T_g\) of \(750^{\circ}\mathrm{C}\) . The STO films were grown with \(p_{O_2} = 1 \times 10^{- 6}\) Torr and at \(T_{\text{substrate}} = 650^{\circ}\mathrm{C}\) . The SAO and STO films were grown in a layer- by- layer growth mode, for which the thickness was monitored by RHEED oscillations. The BFO films were grown with an oxidant (distilled O3) background pressure of \(1 \times 10^{- 5}\) Torr and at \(T_{\text{substrate}} = 380^{\circ}\mathrm{C}\) . Due to the volatile of bismuth, BFO films were grown in adsorption controlled mode with a fixed Bi:Fe flux ratio of 7:1 and the thickness was controlled by shutter time of iron. Electron beam of RHEED was blanked during the growth of BFO films to improve the film quality. To transfer the freestanding oxide film to silicon substrate, the sample was adhered onto PDMS or silicone/PET and released in the same manner. After dissolving in water, the film/PDMS or film PET/silicone/PET was attached onto the new substrate. Finally, the freestanding film remained on the new substrate after peeling off the PDMS or silicone/PET. After a mechanical transfer procedure, some regions of freestanding films exhibit regular wrinkled structure. These wrinkle stripes have a typical width of several hundred nanometers with a height at same level.
+
+<|ref|>text<|/ref|><|det|>[[147, 835, 850, 890]]<|/det|>
+TEM Cross- sectional Sample Preparation and SEM imaging. High quality cross- sectional samples were fabricated by focused ion beam (FIB) technique using FEI
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[144, 93, 852, 560]]<|/det|>
+Helios 600i dual- beam system. Firstly, the regions of wrinkles along [100] or [010] direction on a transferred freestanding perovskite oxide film were located using SEM. Secondly, a \(300\mathrm{nm}\) thick Pt protection layer was deposited on the freestanding film surface using an electron beam of \(5.5\mathrm{nA}\) current at an accelerating voltage of \(2\mathrm{kV}\) and followed by a \(3\mu \mathrm{m}\) thick deposited Pt protection layer with a gallium ion beam. Thirdly, cross- sectional lamellas were formed by gallium ion beam etch and then transferred onto TEM grids by in- situ lift- out system. The cross- sectional lamellas were further thinned by gallium ion beam at an accelerating voltage of \(30\mathrm{kV}\) with \(0.79\mathrm{nA}\) to \(80\mathrm{pA}\) beam current. Finally, a gentle ion milling procedure using a \(2\mathrm{kV}\) accelerating voltage with a beam current of several tens pico amps was employed to reduce the superficial amorphous layers induced by ion implantation damage. SEM images were acquired on FEI Helios 600i dual- beam system using an electron beam of \(43\mathrm{pA}\) current at an accelerating voltage of \(2\mathrm{kV}\) .
+
+<|ref|>text<|/ref|><|det|>[[144, 612, 852, 892]]<|/det|>
+STEM imaging methods and data processing. Atomic resolution STEM- HAADF images were obtained on a double aberration- corrected S/TEM Thermofisher Spectra \(300\mathrm{at}300\mathrm{kV}\) with a field emission gun. The probe convergence angle was \(24.5\mathrm{mrad}\) , and the angular range of the HAADF detector was from \(79.5\mathrm{mrad}\) to \(200\mathrm{mrad}\) . iDPC data were also collected on the same microscope with a \(24.5\mathrm{mrad}\) convergence angle using 8 segments annular detector, which exhibits a higher contrast on oxygen anions. 4D- STEM data in Fig. S7 were collected on a double aberration- corrected S/TEM Thermofisher Titan G2 at \(300\mathrm{kV}\) with a \(22.5\mathrm{mrad}\) convergence angle. The diffraction
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[144, 93, 852, 223]]<|/det|>
+patterns of the 4D- STEM datasets were recorded with a \(128 \times 128\) pixel array detector (EMPAD) at an acquisition rate of 1000 frames per second. The scanning area of \(2.6 \times 2.6\) nm was acquired with a scanning step size of \(0.2 \AA\) . Maximum collection semi- angle of the EMPAD detector was 67 mrad.
+
+<|ref|>text<|/ref|><|det|>[[145, 241, 852, 373]]<|/det|>
+A center of mass (COM) signal image can be obtained directly as the center of mass motion is calculated from each diffraction pattern in the 4D- STEM dataset. A differentiated COM (dCOM) signal image is generated by calculating the divergence of the COM image36.
+
+<|ref|>text<|/ref|><|det|>[[145, 426, 852, 744]]<|/det|>
+Lattice and polarization measurements. To determine the atom position from the STEM images, we extracted the intensity line profile of each unit cell layers and define the position with the highest intensity in a single atom region as the center of this atom. Then we use this position to calculate the space between two neighbored A- site cations and get the lattice spacing (Figs. S9, 10). For the mapping of strain distribution, we use Gaussian Fitting to find the positions of A- site cations and automatically calculate the relative spacing of neighbored cation on in- plane and out- of- plane directions. The divergence between these spacing values to reference values on unstrained state can be calculated as corresponding strain magnitude.
+
+<|ref|>text<|/ref|><|det|>[[145, 761, 852, 891]]<|/det|>
+For semiquantitative analysis out- of- plane polarization based on the STEM- iDPC images, we used the relative displacement of B site cation column to center of nearest four A site cation columns (Fig. S7b). The procedure was based on the empirical formula \(P = k\delta z\) , where \(P\) is the polarization, \(k\) is an empirical constant fitted from
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[144, 94, 850, 150]]<|/det|>
+macroscopic measurement of corresponding ferroelectric materials, \(\delta z\) is the displacement of B site cation to A site cations.
+
+<|ref|>text<|/ref|><|det|>[[144, 204, 850, 335]]<|/det|>
+Calculation of flexoelectric coefficient. In this study, the total out- of- plane polarization \(P_{z}\) measured in bent BFO membrane can be simplified as the sum of the out- of- plane spontaneous polarization \(P_{s\perp}\) , the piezoelectric polarization caused by strain and the flexoelectric polarization driven by strain gradient:
+
+<|ref|>equation<|/ref|><|det|>[[312, 345, 848, 395]]<|/det|>
+\[\begin{array}{c}{P_{z} = P_{s\perp} + e_{zxx}\epsilon_{xx} + e_{zzz}\epsilon_{zz} + \mu_{zxx}\epsilon_{xx,z} + \mu_{zzz}\epsilon_{zz,z}.}\\ {= P_{s\perp} + \widetilde{e}_{zxx}\epsilon_{xx} + \widetilde{\mu}_{zxx}\epsilon_{xx,z}.} \end{array} \quad (S1)\]
+
+<|ref|>text<|/ref|><|det|>[[144, 408, 850, 576]]<|/det|>
+The subscript " \(\perp\) " represents the polarization component along the \(z\) - axis direction. We used the effective transverse electromechanical coefficients \(\widetilde{e}_{zxx} = e_{zxx} - \nu_{zx}e_{zzz}\) and \(\widetilde{\mu}_{zxx} = \mu_{zxx} - \nu_{zx}\mu_{zzz}\) (where \(\nu_{zx}\) is Poisson's ratio) to characterize the piezoelectric and flexoelectric effect, respectively. \(\epsilon_{xx}\) and \(\epsilon_{xx,z}\) are the in-plane strain and its gradient along the \(z\) - axis direction, respectively.
+
+<|ref|>text<|/ref|><|det|>[[144, 593, 851, 725]]<|/det|>
+The in- plane strain \(\epsilon_{xx}\) is approximated as anti- symmetrically distributed along the \(z\) - axis direction in bent membrane (Fig. 3d and Fig. S14), so the neutral layer (NL) of bent membrane in which there is no in- plane strain ( \(\epsilon_{xx} = 0\) ) has no piezoelectric polarization. The equation (S1) for the neutral layer can be simplified as
+
+<|ref|>equation<|/ref|><|det|>[[408, 739, 848, 761]]<|/det|>
+\[P_{z - NL} = P_{s\perp} + \widetilde{\mu}_{zxx}\epsilon_{xx,z}. \quad (S2)\]
+
+<|ref|>text<|/ref|><|det|>[[144, 779, 850, 909]]<|/det|>
+Thus, the flexoelectric coefficient \(\widetilde{\mu}_{zxxz}\) can be determined by fitting the polarization at neutral layer and strain gradient. As shown from experiment observation (Figs. S14, 15), the strain is almost linearly distributed along thickness direction, suggesting the strain gradient is nearly constant.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[144, 92, 851, 260]]<|/det|>
+Theoretical analysis for irregular mechanical property. The flexoelectric theoretical framework for dielectrics is applied to investigate the mechanism underlying the bending- expansion or - shrinking behavior in BFO membrane. Taking the piezoelectric and flexoelectric effect into account, the expression for the Gibbs free energy density of dielectrics can be written as \(^{37,38}\)
+
+<|ref|>equation<|/ref|><|det|>[[190, 273, 848, 316]]<|/det|>
+\[G = \frac{1}{2} k_{ij}E_iE_j + \frac{1}{2} s_{ijkl}\sigma_{ij}\sigma_{kl} + d_{klj}\sigma_{ij}E_k + F_{klij}(E_k\frac{\partial\sigma_{ij}}{\partial x_l} -\sigma_{ij}\frac{\partial E_k}{\partial x_l}) - D_iE_i - \sigma_{ij}\epsilon_{ij}, \quad (S3)\]
+
+<|ref|>text<|/ref|><|det|>[[144, 333, 851, 500]]<|/det|>
+where \(E_i\) and \(D_i\) are the electric field and the electric displacement tensors, respectively; \(\sigma_{ij}\) and \(\epsilon_{ij}\) are the stress and the strain tensors; \(k_{ij}\) , \(s_{ijkl}\) , \(d_{ijkl}\) and \(F_{ijkl}\) are the second- rank dielectric permittivity tensor, the fourth- rank elastic compliance tensor, the third- rank piezoelectric coupling tensor, and the fourth- rank flexoelectric coupling tensor, respectively.
+
+<|ref|>text<|/ref|><|det|>[[144, 519, 850, 576]]<|/det|>
+The electromechanical constitutive equations can be obtained by minimizing the Gibbs free energy:
+
+<|ref|>equation<|/ref|><|det|>[[378, 590, 848, 688]]<|/det|>
+\[\begin{array}{l}{{D_{k}=k_{kl}E_{l}+d_{klj}\sigma_{ij}+F_{klij}\frac{\partial\sigma_{ij}}{\partial x_{l}},}}\\ {{{}}}\\ {{{\epsilon_{ij}=s_{ijkl}\sigma_{kl}+d_{klj}E_{k}-F_{klij}\frac{\partial E_{k}}{\partial x_{l}}.}}}\end{array} \quad (S5)\]
+
+<|ref|>text<|/ref|><|det|>[[144, 704, 850, 799]]<|/det|>
+The total polarization of each lattice almost points to the \(z\) - axis direction. According to the Gauss's law, the electric displacement along the \(z\) - axis direction should satisfy the following equation:
+
+<|ref|>equation<|/ref|><|det|>[[464, 814, 848, 834]]<|/det|>
+\[D_{z,z} = 0. \quad (S6)\]
+
+<|ref|>text<|/ref|><|det|>[[144, 853, 850, 909]]<|/det|>
+Substituting equation (S4) into equation (S6), the electric field and its gradient along the \(z\) - axis direction induced by bending can be obtained:
+
+<--- Page Split --->
+<|ref|>equation<|/ref|><|det|>[[387, 88, 848, 131]]<|/det|>
+\[E_{z} = -\frac{d_{zxx}}{k_{zz}}\sigma_{xx} - \frac{F_{zxx}}{k_{zz}}\frac{\partial\sigma_{xx}}{\partial x_{z}}, \quad (S7)\]
+
+<|ref|>equation<|/ref|><|det|>[[370, 145, 848, 189]]<|/det|>
+\[\frac{\partial E_z}{\partial x_z} = -\frac{d_{zxx}}{k_{zz}}\frac{\partial\sigma_{xx}}{\partial x_z} -\frac{F_{zxx}}{k_{zz}}\frac{\partial^2\sigma_{xx}}{\partial x_z^2}. \quad (S8)\]
+
+<|ref|>text<|/ref|><|det|>[[147, 205, 850, 335]]<|/det|>
+From equations (S7) - (S8), the flexoelectric effect produces a bias electric field, while piezoelectric effect induces an electric field gradient across the BFO membranes. Substituting equations (S7) - (S8) into equation (S5), the in-plane strain and out- of- plane strain are derivate as:
+
+<|ref|>equation<|/ref|><|det|>[[359, 347, 848, 392]]<|/det|>
+\[\epsilon_{xx} = (s_{xxxx} - \frac{d_{zxx}^{2}}{k_{zz}})\sigma_{xx} + \frac{F_{zxx}^{2}}{k_{zz}}\frac{\partial^{2}\sigma_{xx}}{\partial x_{z}^{2}}, \quad (S9)\]
+
+<|ref|>equation<|/ref|><|det|>[[241, 404, 848, 448]]<|/det|>
+\[\epsilon_{zz} = (s_{zxx} - \frac{d_{zxx}}{k_{zz}} d_{zxx})\sigma_{xx} + \frac{d_{zxx}F_{zxx}}{k_{zz}} -d_{zxx}\frac{F_{zxx}}{k_{zz}}\frac{\partial\sigma_{xx}}{\partial x_{z}} +\frac{F_{zxx}F_{zxx}}{k_{zz}}\frac{\partial^{2}\sigma_{xx}}{\partial x_{z}^{2}}. \quad (S10)\]
+
+<|ref|>text<|/ref|><|det|>[[145, 463, 852, 707]]<|/det|>
+According to the experiments' results, the in- plane strain \(\epsilon_{ij}\) is approximated as antisymmetrically distributed along the \(z\) - axis direction in bent BFO membrane (Fig. 3d and Figs. S14, 15), implying that the second term at the right side of equation (S9) can be ignored. Therefore, the in- plane stress \(\sigma_{ij}\) is considered as anti- symmetrically and linearly distributing along the \(z\) - axis direction for the sake of satisfying the stress equilibrium. To simplify the derivation, the second term in equation (S9) and the third term in equation (S10) are neglected in following derivation.
+
+<|ref|>text<|/ref|><|det|>[[145, 723, 852, 891]]<|/det|>
+Equation (S10) indicates that the coupling of flexoelectricity and piezoelectricity provides a bias electromechanical out- of- plane strain, which essentially consists of two parts: the nanoscale enhanced flexoelectric effect triggers a large out- of- plane electric field, leading to an extra out- of- plane strain by the inverse piezoelectric effect; also the piezoelectric effect results in a large electric field gradient, which generates another
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[145, 94, 625, 112]]<|/det|>
+extra out- of- plane strain by the inverse flexoelectric effect.
+
+<|ref|>text<|/ref|><|det|>[[145, 130, 850, 188]]<|/det|>
+The relationship between the thickness and strain gradient is obtained by combining equations (S9) and (S10):
+
+<|ref|>equation<|/ref|><|det|>[[427, 202, 848, 222]]<|/det|>
+\[h = (Ae_{xx,z} + 1)h_0, \quad (S11)\]
+
+<|ref|>equation<|/ref|><|det|>[[400, 238, 848, 280]]<|/det|>
+\[A = \frac{d_{xx}F_{zzz} - d_{zzz}F_{zxx}}{s_{xxx}k_{zz} - d_{xx}^{2}}, \quad (S12)\]
+
+<|ref|>text<|/ref|><|det|>[[145, 297, 850, 427]]<|/det|>
+where \(h_0\) denotes the thickness of the flat membrane. Based on the experimental results (Fig. 3f), the coupling coefficient \(A\) of BFO membrane are calculated as \(1.7 \pm 0.2 \mathrm{~nm}\) , without using all the tensor components in equation (S12), the measurement of which are challenging to obtain at the nanoscale.
+
+<|ref|>text<|/ref|><|det|>[[145, 483, 850, 610]]<|/det|>
+The Phase- field Computational Methods. Phase- field simulations were performed to investigate the polarization state in the bent BFO membranes. The temporal evolution of the polarization field is described by the time- dependent Ginzburg- Landau (TDGL) equations:
+
+<|ref|>equation<|/ref|><|det|>[[373, 627, 848, 668]]<|/det|>
+\[\frac{\partial P(\boldsymbol {r},t)}{\partial t} = -L\frac{\partial F}{\partial P(\boldsymbol {r},t)},i = 1,2,3, \quad (S13)\]
+
+<|ref|>text<|/ref|><|det|>[[145, 686, 850, 817]]<|/det|>
+where \(P_{i}(r,t)\) is polarization, \(r\) is the spatial coordinate, \(t\) is the evolution time, \(L\) is the kinetic coefficient, and \(F\) is the total free energy that includes the contributions from the bulk energy, the Landau energy, the gradient energy and the flexoelectric field energy \(^{39}\) :
+
+<|ref|>equation<|/ref|><|det|>[[339, 829, 848, 860]]<|/det|>
+\[F = \iiint (f_{bulk} + f_{Land} + f_{grad} + f_{flexo})dV. \quad (S14)\]
+
+<|ref|>text<|/ref|><|det|>[[145, 872, 574, 891]]<|/det|>
+The bulk energy density \(f_{bulk}\) is described as follows,
+
+<--- Page Split --->
+<|ref|>equation<|/ref|><|det|>[[262, 93, 848, 131]]<|/det|>
+\[f_{bulk} = \frac{1}{2} c_{ijkl}(\epsilon_{ij} - \epsilon_{ij}^{0})(\epsilon_{kl} - \epsilon_{kl}^{0}) - \epsilon_{ijk}^{T}E_{k}(\epsilon_{ij} - \epsilon_{ij}^{0}) - \frac{1}{2}\epsilon_{0}\kappa_{ij}E_{i}E_{j}, \quad (S15)\]
+
+<|ref|>text<|/ref|><|det|>[[145, 145, 850, 280]]<|/det|>
+where \(c_{ijkl}\) and \(\epsilon_{ijk}^{T}\) are the elastic stiffness tensor and piezoelectric stiffness tensor, respectively. \(\epsilon_{ij}\) and \(\epsilon_{ij}^{0}\) are the total local strain and eigenstrain, respectively, \(E_{i}\) is the electric field component, \(\epsilon_{0}\) is the vacuum permittivity, and \(\kappa_{ij}\) is the background dielectric constant.
+
+<|ref|>text<|/ref|><|det|>[[146, 296, 541, 316]]<|/det|>
+The Landau energy density \(f_{Land}\) is expressed as:
+
+<|ref|>equation<|/ref|><|det|>[[383, 331, 848, 353]]<|/det|>
+\[f_{Land} = \alpha_{ij}P_{i}P_{j} + \alpha_{ijkl}P_{i}P_{j}P_{k}P_{l}, \quad (S16)\]
+
+<|ref|>text<|/ref|><|det|>[[146, 370, 850, 426]]<|/det|>
+where \(\alpha_{ij}\) is the Landau energy coefficients. The gradient energy density \(f_{grad}\) is given by,
+
+<|ref|>equation<|/ref|><|det|>[[412, 435, 848, 472]]<|/det|>
+\[f_{grad} = -\frac{1}{2} G_{ijkl}P_{i,j}P_{k,l} \quad (S17)\]
+
+<|ref|>text<|/ref|><|det|>[[146, 481, 850, 537]]<|/det|>
+where \(G_{ijkl}\) is the gradient energy coefficient. The flexoelectric field energy density \(f_{flexo}\) is given by,
+
+<|ref|>equation<|/ref|><|det|>[[441, 555, 848, 576]]<|/det|>
+\[f_{flexo} = -E_{k}^{f}P_{k} \quad (S18)\]
+
+<|ref|>text<|/ref|><|det|>[[146, 591, 728, 635]]<|/det|>
+where \(E_{k}^{f} = -\frac{\delta f_{flexo}}{\delta P_{k}} = f_{ijkl}\frac{\partial \epsilon_{ij}}{\partial x_{l}}\) and \(f_{ijkl}\) is the flexoelectric coefficients40.
+
+<|ref|>text<|/ref|><|det|>[[145, 657, 852, 860]]<|/det|>
+In the simulations, the BFO membrane model was discretized at grid size 120 \(\Delta x \times 10 \Delta x\) , where \(\Delta x\) was set to 0.5 nm. The total thickness is about 5.0 nm, which is consistent with the thickness of the specimen measured in the experiments. The open circuit condition was applied along the boundaries \(z\) direction of the thin membrane, and the temperature was set to be 298 K. The Values of the parameters in the simulations are also listed in Table S1.41,42.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[144, 92, 852, 375]]<|/det|>
+The First- Principles Calculations of BFO Polarization. The corresponding calculations were carried out by the generalized gradient approximation (GGA) method of Perdewe- Burke- Ernzerhof (PBE) \(^{43}\) based on density functional theory (DFT) implemented in the Vienna ab initio Simulation Package (VASP) \(^{44,45}\) . The cutoff energy for the plane wave basis set was tested and taken as \(500 \mathrm{eV}\) . Both lattice constants and atomic positions were relaxed until the forces on atoms were less than \(0.005 \mathrm{eV / \AA}\) , and the total energy change was less than \(10^{- 5} \mathrm{eV}\) . The polarization evolution of bulk BFO corresponding Fe- displacement (Fig. S8) was calculated by the Berry phase method \(^{46,47}\) .
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[148, 94, 336, 113]]<|/det|>
+## Acknowledgments
+
+<|ref|>text<|/ref|><|det|>[[145, 130, 853, 533]]<|/det|>
+This work was supported by the National Basic Research Program of China (grant 2015CB654901), the National Natural Science Foundation of China (grant: 11874199, 11774153, 1861161004), the International Cooperation and Exchange Program by NSFC (11911530174) and the Fundamental Research Funds for the Central Universities (020514380224, 14380167). J.W.H acknowledges support from the National Science Foundation of China (grant 12172047), Beijing Natural Science Foundation (Z190011) and the Technological Innovation Project of Beijing Institute of Technology. S.H.C. acknowledges the support of the General Research Fund (No. 15306021) from the Hong Kong Research Grant Council, the National Natural Science Foundation of China (Grant No. 12104381), the startup grants from the Department of Applied Physics, the Hong Kong Polytechnic University, Research Grants Council of Hong Kong (Project no. C5029- 18E) and the open subject of National Laboratory of Solid State Microstructures, Nanjing University (M34001). C.A. acknowledges support from the U.S. Department of Energy, Office of Basic Energy Science, Division of Materials Science and Engineering (DE- SC0014430). D.X.J. is supported by Program A for Outstanding Ph.D. candidate of Nanjing University (grant 201901A014). Y.Z.L. is supported by Graduate Technological Innovation Project of Beijing Institute of Technology (grant 2019CX20002). Theoretical calculations were performed using resources of the National Supercomputer Centre in Guangzhou.
+
+<|ref|>sub_title<|/ref|><|det|>[[148, 550, 365, 568]]<|/det|>
+## Author contributions
+
+<|ref|>text<|/ref|><|det|>[[145, 592, 852, 825]]<|/det|>
+X.Q.P, P.W. and S.H.C supervised the STEM characterizations. Y.F.N. and Z.B.G. supervised the synthesis of epitaxial and freestanding films. J.W.H and X.Y.W supervised theoretical analysis and phase- field simulations. S.H.C. carried out SEM observation and prepared the TEM cross- sectional samples via FIB. S.H.C., D.X.J., C.C.Z. and M.G. carried out STEM experiments. S.H.C., Y.Z.L., P.L., D.X.J., Y.F.W. and S.G. carried out data analysis. Y.Z.L. and J.W.H. carried out theoretical analysis. C.Q.G. carried out phase- field simulations. P.L. carried out the first- principles calculations. D.X.J., Y.P.Z. and L.H. grew and transferred the freestanding perovskite oxides. S.H.C., Y.Z.L., P.L., P.W., J.W.H., X.Q.P., Y.F.N., D.X.J., C.A. and L.H. wrote and edited the manuscript. All authors discussed the data and contributed to the manuscript.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[166, 90, 840, 565]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[147, 572, 852, 896]]<|/det|>
+Fig. 1 | Bending behavior of BFO membranes. a, Scanning electron microscope (SEM) image of wrinkled freestanding BFO. Scale bar: \(1 \mu \mathrm{m}\) . b, Cross-sectional STEM-HAADF image of a single wrinkle in (a). Scale bar: \(100 \mathrm{nm}\) . Inset indicates the unstrained state taken from region 1 (marked by red square), where the spontaneous polarization has an upward out-of-plane component (yellow arrow). c-e, STEM-HAADF images (left) taken from the bent regions 1, 2, 3 in (b), respectively. The strain gradients \(\epsilon_{xx,z}\) are \(5.2 \times 10^{6} \mathrm{m}^{-1}\) , \(2.1 \times 10^{7} \mathrm{m}^{-1}\) and \(3.5 \times 10^{7} \mathrm{m}^{-1}\) , respectively. Middle STEM-iDPC images taken from yellow trapezoid regions show the position of Bi, Fe and O atomic columns. The variation of lattice and oxygen octahedral from the internal (IS) to external surfaces (ES) can be conjectured as shown in the right schematics. Scale bar: \(2 \mathrm{nm}\) . f-h, Corresponding mapping results of in-plane and out-of-plane strain distributions in bent regions marked by yellow trapezoids in (c-e), respectively.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[145, 83, 852, 435]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[147, 441, 852, 660]]<|/det|>
+Fig. 2 | Bending behavior of STO membranes. a-c, STEM-HAADF images (left) of bent STO taken from the different bent regions with a strain gradient \(\epsilon_{xx,z}\) of \(4.2 \times 10^{6} \mathrm{~m}^{-1}\) , \(9.7 \times 10^{6} \mathrm{~m}^{-1}\) and \(1.5 \times 10^{7} \mathrm{~m}^{-1}\) , respectively. Middle STEM-iDPC images taken from yellow trapezoid regions show the position of Sr, Ti and O atomic columns. The variation of lattice and oxygen octahedral from the internal (IS) to external surfaces (ES) can be conjectured as shown in the right schematics. Scale bar: \(2 \mathrm{~nm}\) . d-f, Corresponding mapping results of in-plane and out-of-plane strain distributions in bent regions marked by yellow trapezoids in (a-c), respectively.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[148, 88, 848, 375]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[145, 386, 852, 572]]<|/det|>
+Fig. 3 | Mechanical behavior of bent BFO and STO membranes. a-b, The out-of-plane polarizations at neutral layer and their corresponding strain gradients from the bent BFO and STO membranes, respectively. c, Schematic of the theoretical antisymmetric in-plane and out-of-plane strain distributions in the bent membrane. d, Antisymmetric in-plane and (e) asymmetric out-of-plane strain distributions in the bent BFO with a strain gradient of \(3.5 \times 10^{7} \mathrm{~m}^{-1}\) along the thickness direction. f, Mean lattice spacing \(c\) as a function of the strain gradient in the bent BFO and STO.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[149, 83, 850, 250]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[147, 256, 850, 552]]<|/det|>
+Fig. 4 | Flexoexpansion and flexoshrinkage effects in piezoelectric membranes. a-f, Simulated bending deformation of ferroelectric membranes (5 nm thickness) with different bending expansion coefficients \(A = 0.0\) (a, d), 2.5 (b, e), and 5.0 (c, f) when bent upward (a-c) and downward (d-f), given that the out-of-plane spontaneous polarization (yellow arrow) points upwards. g-h, The flexoexpansion and flexoshrinkage effects observed in upward (g) and downward (h) bent BFO, respectively. i, Strain mapping of trapezoid region in (g) shows the symmetric in-plane strain distribution and asymmetric out-of-plane strain distribution along the thickness direction. j, Strain mapping of trapezoid region in (h) shows the symmetric in-plane strain distribution and asymmetric out-of-plane strain distribution opposite with the case in (i).
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[44, 42, 311, 70]]<|/det|>
+## Supplementary Files
+
+<|ref|>text<|/ref|><|det|>[[44, 93, 765, 113]]<|/det|>
+This is a list of supplementary files associated with this preprint. Click to download.
+
+<|ref|>text<|/ref|><|det|>[[61, 130, 333, 150]]<|/det|>
+SupplementaryMaterials.pdf
+
+<--- Page Split --->
diff --git a/preprint/preprint__030d32ff9b730af3688e796beaceb960542869b68e0c2941b54bdcec394c4d7e/images_list.json b/preprint/preprint__030d32ff9b730af3688e796beaceb960542869b68e0c2941b54bdcec394c4d7e/images_list.json
new file mode 100644
index 0000000000000000000000000000000000000000..5169765f70c915f32bc14f032c5205e978cbb2fa
--- /dev/null
+++ b/preprint/preprint__030d32ff9b730af3688e796beaceb960542869b68e0c2941b54bdcec394c4d7e/images_list.json
@@ -0,0 +1,122 @@
+[
+ {
+ "type": "image",
+ "img_path": "images/Figure_1.jpg",
+ "caption": "Figure 1 | Illustration of CVs and GCD curves of a pseudocapacitor without ambiguity (a and d, respectively), and a battery (c and f, respectively). CV and GCD curve with ambiguity (b and e, respectively).",
+ "footnote": [],
+ "bbox": [
+ [
+ 255,
+ 82,
+ 739,
+ 260
+ ]
+ ],
+ "page_idx": 5
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_2.jpg",
+ "caption": "Figure 2 | Image extraction from scientific papers followed by CV and GCD classifications based on ResNet50 architecture.",
+ "footnote": [],
+ "bbox": [
+ [
+ 185,
+ 514,
+ 808,
+ 802
+ ]
+ ],
+ "page_idx": 6
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_3.jpg",
+ "caption": "Figure 3 | (a) CV and GCD datasets obtained after classification by Process 1, splitting them into training and validation datasets for further GCD and CV classification in Process 2 and Process 3, respectively. (b) The outputs from Process 3 are used in this final classification step to obtain the capacitive tendency based on percentage confidence rating of the prediction. (c) Table of processes, inputs and outputs performed/used to obtain these results.",
+ "footnote": [],
+ "bbox": [
+ [
+ 132,
+ 80,
+ 863,
+ 430
+ ]
+ ],
+ "page_idx": 8
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_4.jpg",
+ "caption": "Figure 4 | Illustration of a) experimental CVs and GCDs of different electrode materials including \\(MnO_2\\) , \\(V_2C\\) , \\(RuO_x\\) , \\(LaMnO_3\\) , \\(Ti_3C_2T_x\\) , \\(H_2TiNb_6O_{18}\\) , \\(Ag_1\\) , \\(3xLa_{1-x}NbO_3\\) , \\(Nb_2O_5\\) , \\(nano-MnS_2\\) , \\(bulk-MoS_2\\) , \\(TiO_2\\) , and \\(NaFePO_4\\) , theoretical b) CVs and c) GCDs undergoing different electrochemical processes, and d) Number of publications involving capacitive and battery electrode materials from 2012 to 2022. (Google Scholar, August 28th, 2022).",
+ "footnote": [],
+ "bbox": [
+ [
+ 140,
+ 82,
+ 857,
+ 530
+ ]
+ ],
+ "page_idx": 12
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_5.jpg",
+ "caption": "Figure 5 | The illustration of (a) classified theoretical CVs with Gaussian and box shapes as the components, and (b) classified theoretical galvanostatic charge (I) and discharge (II) curves obtained by using Eq 4. with a varying M parameter. The color of each curve is related to the probability of being battery (purple gradient bar) or capacitive material (blue gradient bar).",
+ "footnote": [],
+ "bbox": [
+ [
+ 133,
+ 191,
+ 850,
+ 533
+ ]
+ ],
+ "page_idx": 15
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_6.jpg",
+ "caption": "Figure 6 | Capacitive tendency prediction of experimental voltammograms of (a) the well-known pseudocapacitor and battery electrode materials \\(MnO_2\\) [46] and \\(NMC\\) [47] respectively, compared with the ambiguous CVs of \\(Ag_{1 - 3x}La_{x}N_{2}NbO_{3}\\) [37] and \\(H_2TiNbO_{18}\\) [36], respectively. Predicted (b) CVs and (c) GCDs of other electrode materials from the literature, as per Figure 4.",
+ "footnote": [],
+ "bbox": [
+ [
+ 115,
+ 156,
+ 880,
+ 485
+ ]
+ ],
+ "page_idx": 17
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_7.jpg",
+ "caption": "Figure 7 | (a) The methodology behind the title classification of papers as either a battery or pseudocapacitor, followed by (b) CV and GCD extraction and then (c) the matched/mismatched outputs using our classifiers (Processes 1, 2 and 3). The percentage correlation between titles for pseudocapacitor and battery materials vs. correctly classified CVs and GCDs.",
+ "footnote": [],
+ "bbox": [
+ [
+ 185,
+ 81,
+ 810,
+ 450
+ ]
+ ],
+ "page_idx": 19
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_8.jpg",
+ "caption": "Figure 8 | The online tool kit for CV and GCD classification based on our model.",
+ "footnote": [],
+ "bbox": [
+ [
+ 252,
+ 325,
+ 741,
+ 667
+ ]
+ ],
+ "page_idx": 20
+ }
+]
\ No newline at end of file
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@@ -0,0 +1,465 @@
+<|ref|>title<|/ref|><|det|>[[44, 107, 833, 210]]<|/det|>
+# A Novel Approach for Classifying Battery and Pseudocapacitor Materials Using Capacitive Tendency and Supervised Machine Learning
+
+<|ref|>text<|/ref|><|det|>[[44, 230, 245, 270]]<|/det|>
+Siraprapha Deebansok VISTEC
+
+<|ref|>text<|/ref|><|det|>[[44, 277, 875, 319]]<|/det|>
+Jie Deng Institute for Advanced Study & College of Food and Biological Engineering, Chengdu University
+
+<|ref|>text<|/ref|><|det|>[[44, 324, 234, 364]]<|/det|>
+Etienne Le Calvez University of Nantes
+
+<|ref|>text<|/ref|><|det|>[[44, 370, 464, 410]]<|/det|>
+Yachao ZHU ICGM https://orcid.org/0000- 0001- 8057- 3754
+
+<|ref|>text<|/ref|><|det|>[[44, 416, 235, 456]]<|/det|>
+Olivier Crosnier Université de Nantes
+
+<|ref|>text<|/ref|><|det|>[[44, 463, 920, 526]]<|/det|>
+Thierry Brousse Institut des Matériaux Jean Rouxel, CNRS UMR 6502 - Université de Nantes https://orcid.org/0000- 0002- 1715- 0377
+
+<|ref|>text<|/ref|><|det|>[[44, 530, 483, 550]]<|/det|>
+Olivier Fontaine (Olivier.fontaine@vistec.ac.th)
+
+<|ref|>text<|/ref|><|det|>[[50, 553, 941, 573]]<|/det|>
+VISTEC (Vidyasirimedhi Institute of Science and Technology) https://orcid.org/0000- 0002- 1804- 5990
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 614, 102, 631]]<|/det|>
+## Article
+
+<|ref|>text<|/ref|><|det|>[[44, 651, 137, 670]]<|/det|>
+Keywords:
+
+<|ref|>text<|/ref|><|det|>[[44, 689, 297, 708]]<|/det|>
+Posted Date: May 29th, 2023
+
+<|ref|>text<|/ref|><|det|>[[44, 727, 473, 746]]<|/det|>
+DOI: https://doi.org/10.21203/rs.3.rs- 2930525/v1
+
+<|ref|>text<|/ref|><|det|>[[44, 764, 910, 807]]<|/det|>
+License: © This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+<|ref|>text<|/ref|><|det|>[[44, 825, 530, 845]]<|/det|>
+Additional Declarations: There is NO Competing Interest.
+
+<|ref|>text<|/ref|><|det|>[[42, 881, 933, 924]]<|/det|>
+Version of Record: A version of this preprint was published at Nature Communications on February 7th, 2024. See the published version at https://doi.org/10.1038/s41467- 024- 45394-w.
+
+<--- Page Split --->
+<|ref|>title<|/ref|><|det|>[[120, 92, 880, 115]]<|/det|>
+# A Novel Approach for Classifying Battery and Pseudocapacitor Materials
+
+<|ref|>title<|/ref|><|det|>[[174, 135, 825, 159]]<|/det|>
+# Using Capacitive Tendency and Supervised Machine Learning
+
+<|ref|>text<|/ref|><|det|>[[130, 234, 868, 285]]<|/det|>
+Siraprapha Deebansok,a Jie Deng,b Etienne Le Calvez,c,d Yachao Zhu,e Olivier Crosnier,c,d Thierry Brousse,c,d Olivier Fontainea,f
+
+<|ref|>text<|/ref|><|det|>[[117, 315, 880, 333]]<|/det|>
+a Molecular Electrochemistry for Energy laboratory, VISTEC, Institute of Science and Technology, Rayong, 21210, Thailand.
+
+<|ref|>text<|/ref|><|det|>[[118, 347, 880, 364]]<|/det|>
+b Institute for Advanced Study & College of Food and Biological Engineering, Chengdu University, Chengdu 610106, China.
+
+<|ref|>text<|/ref|><|det|>[[118, 380, 748, 395]]<|/det|>
+c Nantes Université, CNRS, Institut des Matériaux de Nantes Jean Rouxel, IMN, 44000 Nantes, France.
+
+<|ref|>text<|/ref|><|det|>[[118, 411, 861, 427]]<|/det|>
+d Réseau sur le Stockage Électrochimique de l'Énergie (RS2E), CNRS FR 3459, 33 rue Saint Leu, 80039 Amiens, France.
+
+<|ref|>text<|/ref|><|det|>[[118, 443, 551, 458]]<|/det|>
+e ICGM, Université de Montpellier, CNRS, 34293 Montpellier, France.
+
+<|ref|>text<|/ref|><|det|>[[118, 474, 446, 489]]<|/det|>
+f Institut Universitaire de France, 75005 Paris, France.
+
+<|ref|>text<|/ref|><|det|>[[118, 506, 598, 521]]<|/det|>
+\* Corresponding author. Email: Olivier Fontaine: olivier.fontaine@vistec.ac.th
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[118, 85, 196, 101]]<|/det|>
+## Abstract
+
+<|ref|>text<|/ref|><|det|>[[115, 120, 884, 570]]<|/det|>
+In recent decades, there have been more than 100,000 scientific articles dedicated to developing electrode materials for supercapacitors and batteries. A heated debate nonetheless persists surrounding the standards for determining electrochemical behavior involving faradaic reactions, since the electrochemical signals produced by the various electrode materials and their different physicochemical properties often complicate matters. The difficulty lies in determining which group these materials fall into through simple binary classification as there can be an overlap between battery and pseudocapacitor signals and because both materials are faradaic in origin. To solve this conundrum, we applied supervised machine- learning toward a statistical analysis of electrochemical signals, and consequently developed a new standard which we called capacitive tendency. This predictor not only surpasses the limitations of human- based classification but also provides statistical tendencies regarding electrochemical behavior. Notably, and of particular importance to the electrochemical energy storage community publishing over a hundred articles weekly, we have created an online tool for easy classification of their data.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[118, 84, 230, 101]]<|/det|>
+## Introduction
+
+<|ref|>text<|/ref|><|det|>[[117, 122, 883, 339]]<|/det|>
+In the energy storage research field, batteries are one of the most studied types of devices owing to their use in a wide range of applications including electronic equipment, electric vehicles and for medical and military purposes. \(^{[1]}\) On the other hand, pseudocapacitive electrodes have attracted a considerable amount of attention due to their superior power capability. \(^{[2]}\) Both of these energy storage systems are generally composed of various types of electrode materials exhibiting electrochemical signals that may or may not resemble one another. \(^{[3]}\)
+
+<|ref|>text<|/ref|><|det|>[[115, 357, 883, 840]]<|/det|>
+It is common knowledge that electric double layer capacitors (EDLCs) rely on a non- faradaic process without any electron transfer, whereas batteries and pseudocapacitors are governed by faradaic reactions. \(^{[4]}\) The latter processes are generally depicted by peaks on Cyclic Voltammograms (CVs) and plateaus on Galvanostatic Charge- Discharge (GCD) curves (Figure 1). \(^{[5]}\) Nowadays, some faradaic electrode materials display electrochemical signals similar to those of EDLCs, such as the rectangular/quasi- rectangular CV and the sloping GCD curve. \(^{[6, 7]}\) This characteristic has been found in a wide variety of transition metal oxides (RuO \(_2\) , \(^{[8]}\) MnO \(_2\) \(^{[9, 10]}\) ), conducting polymers (poly(3,4- ethylenedioxythiophene) \(^{[11, 12]}\) , polyaniline \(^{[13, 14]}\) ), and carbides (MXene) \(^{[15]}\) ). Numerous studies are underway focusing on faradaic electrode materials and including the behavior of pseudocapacitors and batteries, where both involve redox reactions, in keeping with the concept proposed by Conway et al. \(^{[4]}\) . Currently, owing to the vast amounts of materials studied, guidelines for distinguishing between the two are still largely inadequate, with some studies even contradicting the conventional definition of Conway et al., as later supported by Brousse et al. and other researchers in the field. \(^{[7]}\)
+
+<|ref|>text<|/ref|><|det|>[[118, 858, 881, 910]]<|/det|>
+Indeed, electrochemical signals are numerous and complex, varying according to the choice of electrode materials, as shown in Figure 1, hence the difficulty in identifying and categorizing
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 78, 883, 761]]<|/det|>
+these materials based on electrochemical signals. Recently, Fleischmann et al. \(^{[16]}\) , in a perspective paper, postulated the importance of a unified understanding when it comes to the electrochemical signals found in capacitors and batteries. The authors proposed the concept of electrolyte confinement that could impact the electrochemical behavior as a transition as a 'spectrum' from battery- to capacitor- type signals. It depicts the continuum of the signal from one state to another by altering the degree of confinement depending on, for example, the pore size of the electrode materials or the spacing size between MXene layers. Their work highlights the significance of successful quantification in order to move away from the postulate and arrive at a quantifiable spectral variable. It is shown that understanding the overlap and transition in electrochemical signals essentially requires a clear- cut classification of electrode material types based on their electrochemical behaviors (in CV and GCD). Unfortunately, the scientific elements presented by the authors are comparable to a mathematical conjecture, meaning that the proposed continuum is not supported by any mathematical variable or formalism. It is merely the subject of a postulate. Nonetheless, stating that the continuum is necessary does not diminish its importance. However, it becomes apparent that a mathematical variable must be added to quantify and measure this variation within the continuum. In order to metric this concept of 'continuum spectrum' and to provide the quantitative value to it, we analyze for the first time to the best of our knowledge the electrochemical signals with the help of supervised machine- learning. Our method is based on data science driven- supervised machine learning for achieving the descriptor, "capacitive tendency" that allows our community to develop metric, as a next step following this postulate.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[255, 82, 739, 260]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[115, 281, 881, 367]]<|/det|>
+Figure 1 | Illustration of CVs and GCD curves of a pseudocapacitor without ambiguity (a and d, respectively), and a battery (c and f, respectively). CV and GCD curve with ambiguity (b and e, respectively).
+
+<|ref|>text<|/ref|><|det|>[[115, 392, 883, 805]]<|/det|>
+To date, computing techniques have been used as somewhat satisfactory tools toward ascertaining the charge storage mechanism behind various electrochemical signatures. \(^{[17 - 20]}\) It has been popular in the energy storage community that extracting the information such as electrochemical, chemical, and physical properties from literatures is essential, when big data has been generated with large number of scientific papers every year. Text mining was used to gather information of Li- ion battery research and development involving in several processes such as electrode synthesis, electrochemical performance, processing condition parameters, where the models are based on machine- learning (ML), natural language processing (NLP), Named Entity Recognition (NER). \(^{[21,22]}\) Recently, text- mining algorithms have been developed to efficiently extract various specific information of the materials from the article such as BatteryDataExtractor using bidirectional- encoder representations from transformers (BERT), \(^{[23]}\) and Li- ion battery annotated corpus (LIBAC) based on NER. \(^{[24]}\) However, using ML for electrochemical signal interpretation has not been done.
+
+<|ref|>text<|/ref|><|det|>[[117, 825, 881, 909]]<|/det|>
+In this work, ML approach is used to interpret the CV and GCD signals by way of a supervised ML descriptor aimed at analyzing and determining the capacitive behavior of electrode materials found in thousands of scientific papers, as illustrated in Figure 2. Since our nuanced
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 81, 883, 499]]<|/det|>
+classification is substantially different from the binary identification by human as only being battery or pseudocapacitor among various electrochemical signals, we propose a new definition called capacitive tendency. This tendency is not only able to classify a large majority of relevant materials, but also to depict possible behaviors of the material in question. Hence, this artificial intelligence (AI) power will be the only important tool to help transforming the information from images to accurate values based on big database available in the electrochemical energy storage community. In addition to this, we provide an online tool kit which uses supervised machine- learning to easily classify materials. Today, the large amount of literature sometimes leads to a misuse of the proposed definitions, to reduce this definitional mishap, our work will reduce these errors. Our work thus serves to put forward a new concept toward understanding and labeling the various electrochemical signatures of energy storage devices. Above all, it also offers a unique opportunity to unify the complex electrochemical signatures of more than 100,000 scientific papers through supervised ML.
+
+<|ref|>image<|/ref|><|det|>[[185, 514, 808, 802]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[115, 823, 880, 875]]<|/det|>
+Figure 2 | Image extraction from scientific papers followed by CV and GCD classifications based on ResNet50 architecture.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[118, 85, 196, 101]]<|/det|>
+## Methods
+
+<|ref|>sub_title<|/ref|><|det|>[[118, 134, 303, 151]]<|/det|>
+## Dataset Construction
+
+<|ref|>text<|/ref|><|det|>[[115, 172, 884, 555]]<|/det|>
+In the present paper, all datasets are in the form of images extracted using PyMuPDF library in Python language from more than 3,300 scientific papers. The first dataset, or Output 1, was obtained by figures extracting using OpenCV which provides (2,979) \(GCD\) , (5,598) \(CV\) and other images such as crystal structure image (which will not be used in the further classification steps). The \(GCD\) s and \(CV\) s were then labeled as belonging to one of two classes, namely batteries or pseudocapacitors without ambiguity, to be used for model training (80% of total data), as well as for validation (20% of total data) in Process 2 and Process 3 for \(GCD\) and \(CV\) classification, respectively. From Process 3, Output 3 was obtained and categorized into three types of training sets: 100% battery, 50% battery/pseudocapacitor, and 100% pseudocapacitor. This output was then further refined in Processes 4 and 5, as illustrated in Figure 3b. Moreover, cross- validation was performed with the experts in the field with the number of meetings.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[132, 80, 863, 430]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[115, 463, 883, 613]]<|/det|>
+Figure 3 | (a) CV and GCD datasets obtained after classification by Process 1, splitting them into training and validation datasets for further GCD and CV classification in Process 2 and Process 3, respectively. (b) The outputs from Process 3 are used in this final classification step to obtain the capacitive tendency based on percentage confidence rating of the prediction. (c) Table of processes, inputs and outputs performed/used to obtain these results.
+
+<|ref|>sub_title<|/ref|><|det|>[[118, 715, 468, 732]]<|/det|>
+## Validation of classification architectures
+
+<|ref|>text<|/ref|><|det|>[[115, 753, 883, 905]]<|/det|>
+In this work, Convolutional Neural Networks (CNNs) were selected for use as the image classification architectures.[25] Benchmarking was conducted on five different CNN models, including ResNet50,[26] MobileNetV2,[27] VGG16,[28] Xception[29] and 8- Layer CNN[25] (see Supplementary Figures ESI 1- 2), to compare model performance. It was carried out based on five metrics, including: Accuracy, Sensitivity, Specificity, Precision, and F- Score[30] (see
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 82, 882, 234]]<|/det|>
+Supplementary Figures ESI 3 and Eq. ESI 1- 5). During the model training cycles, the number of training and validation iterations can impact the accuracy of the prediction since this is related to the experience gained over time by the ML model. Moreover, binary cross entropy \((BCE)\) loss, \(^{[31]}\) calculated from the prediction error as shown in Eq. 1, was minimized along the number of training iterations to optimize predictor performance.
+
+<|ref|>equation<|/ref|><|det|>[[175, 254, 820, 283]]<|/det|>
+\[L_{BCE} = -\frac{1}{n} (\sum_{i = 1}^{n}y_{i}\cdot \log (\hat{y}_{i})y_{i}\cdot \log (\hat{y}_{i}) + (1 - y_{i})\cdot \log (1 - \hat{y}_{i}))\qquad \mathrm{Eq.1}\]
+
+<|ref|>text<|/ref|><|det|>[[117, 303, 880, 355]]<|/det|>
+Where \(y_{i}\) is the ground truth label (0 or 1, in this case battery or pseudocapacitor), \(\hat{y}\) is the predicted value, and n is the output size. \(^{[31]}\)
+
+<|ref|>sub_title<|/ref|><|det|>[[117, 415, 603, 435]]<|/det|>
+## Machine-learning for CV/GCD classification procedures
+
+<|ref|>text<|/ref|><|det|>[[115, 454, 882, 903]]<|/det|>
+The ML architecture displaying the best performance after the validation step (further explained in the Results and Discussion section) was selected for use in this work as will be supervised during classification processes. ResNet50 was exploited in different steps denoted as Processes 1, 2, 3, 4, and 5 (as summarized in Figure 3c) according to the types of inputs and outputs. All of the images extracted from scientific papers were then categorized by Process 1 (ResNet50 model) which yielded Output 1, comprising GCDs, CVs and other images (such as optical image). GCDs from Output 1 were then classified using Process 2, and CVs were separately classified by Process 3, thereby providing the resulting prediction (Output 2: classified GCDs, and Output 3: classified CVs) of either battery or pseudocapacitor with a percentage confidence rating of \(0 - 100\%\) , while the errors were monitored and minimized to improve the prediction. Here, the capacitive tendency \((0 - 100\%)\) was firstly defined by the percentage confidence value, indicating the probability of CV shape as peak (0% capacitive tendency) and box shape (100% capacitive tendency). In the final step (Figure 3b), the classified CVs (in Output 3) were labeled according to four percentage confidence classes —
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[117, 83, 881, 167]]<|/det|>
+\(100\%\) battery, \(50\%\) battery, \(50\%\) pseudocapacitor and \(100\%\) pseudocapacitor — before being further modeled in Processes 4 and 5 to provide the capacitive tendency based on a percentage confidence of \(0 - 100\%\) .
+
+<|ref|>text<|/ref|><|det|>[[115, 191, 883, 603]]<|/det|>
+An alternative way to understand the definition of capacitive tendency is to analyse it as the deviation from the ideal of the purely capacitive signal (is easy to recognize). When the trained model is confident that the curve is close to a rectangle (for CV) or a triangle (for GCD), then this implies that the curve is close to an ideal capacitive signal. On the contrary, a curve whose confidence value is close to zero means that the curve has a different contribution. Basically, the capacitive tendency reflects the analysis of the signal shape. It is information based on a geometric shape. Of course, alternatives could be used. However, the use of the classical formalism, as indicated in the "ideal CVs" area in Figure 4a, is impossible when the shape of the electrochemical signal deviates from this ideal. In the purely mathematical domain, the possibility of adding a rectangle to a closed geometric shape (a CV is a closed geometric shape) is a complex mathematical situation. It is the concept of Inscribed rectangular problem in mathematics. Thus, our data science- driven by supervised deep learning approach is a suitable alternative.
+
+<|ref|>sub_title<|/ref|><|det|>[[118, 624, 317, 641]]<|/det|>
+## Results and Discussion
+
+<|ref|>text<|/ref|><|det|>[[115, 664, 883, 880]]<|/det|>
+This section explains how the models for CV and GCD classification were established for this specific dataset through the validation of different CNN architectures. The selection was based on well- known parameters including Accuracy, Sensitivity, Specificity, Accuracy, and F- Score. Moreover, the most accurate model was developed for use as the descriptor in order to determine the capacitive tendency of the various electrochemical behaviors, by applying the experimental data of various electrode materials. Ultimately, the selected model is destined for use by electrochemists as a tool for determining the nature of their materials.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[177, 123, 694, 142]]<|/det|>
+## The issues surrounding electrochemical signal identification
+
+<|ref|>text<|/ref|><|det|>[[115, 162, 883, 479]]<|/det|>
+The rapidly increasing number of scientific publications involving the study of capacitive materials over the last decade points to the importance of this field of study (as shown in Figure 4). It was found that the 3,300 papers contain around 5,600 CVs and 3,000 GCDs, which generates a massive amount of data and thereby renders human- based interpretation extremely challenging. Furthermore, the CV signals measured by these experiments are mostly performed in complex situations, and thus to not produce the perfect curves obtained in theoretical demonstrations using various common types of electrode materials (Figures 4). This also holds true for GCD signals acquired from experimental measurements. The whole limitation of the analyses in the field is summarised in figure 4a, most of the electrochemical signals are too far from the ideal signal to be analysed with the tools proposed in the state- of- the- art.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[140, 82, 857, 530]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[115, 552, 881, 737]]<|/det|>
+Figure 4 | Illustration of a) experimental CVs and GCDs of different electrode materials including \(MnO_2\) , \(V_2C\) , \(RuO_x\) , \(LaMnO_3\) , \(Ti_3C_2T_x\) , \(H_2TiNb_6O_{18}\) , \(Ag_1\) , \(3xLa_{1-x}NbO_3\) , \(Nb_2O_5\) , \(nano-MnS_2\) , \(bulk-MoS_2\) , \(TiO_2\) , and \(NaFePO_4\) , theoretical b) CVs and c) GCDs undergoing different electrochemical processes, and d) Number of publications involving capacitive and battery electrode materials from 2012 to 2022. (Google Scholar, August 28th, 2022).
+
+<|ref|>text<|/ref|><|det|>[[117, 796, 881, 881]]<|/det|>
+In this study, these CVs and GCDs were analyzed via supervised ML trained with datasets extracted from over 4,000 scientific papers (see DOI in Supplementary Information). In the following section, various Convolutional Neural Network architectures are validated and
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[118, 83, 880, 135]]<|/det|>
+selected based on the evaluations explained in the experimental section, by applying the theoretical CV and GCD curves.
+
+<|ref|>sub_title<|/ref|><|det|>[[178, 197, 411, 214]]<|/det|>
+## Validation of architectures
+
+<|ref|>text<|/ref|><|det|>[[115, 240, 883, 589]]<|/det|>
+To select the Convolutional Neural Network architecture best suited to our datasets, the validation of a total of five models (ResNet50, MobileNetV2, VGG16, Xception, and 8- Layer CNN) was first performed using Processes 2 and 3 with different types of input and output (Table ESI 1). These architectures were chosen based on the reported accuracy ranking ascribed to the models' performance from ImageNet validation. [42, 43] In this step, the prediction was governed by binary classification to obtain only two different outputs, namely (i) battery or (ii) pseudocapacitor, since the model had been trained and supervised with CV and GCD datasets without ambiguity. ResNet50 was found to be the most accurate and precise one out of all the models (Table ESI 2) and was thus selected to further prediction in the next step. Moreover, ResNet50 is more adapted to the variety of data that will be input by the users, for example, plot with different frame and font styles and different color curves.
+
+<|ref|>text<|/ref|><|det|>[[116, 612, 882, 764]]<|/det|>
+To demonstrate the efficiency of the model, 5598 CVs and 2979 GCDs were randomly selected and entered into the classifier according to Processes 2 and 3. Figure ESI 9 clearly demonstrates that the majority of predicted datasets showed a 100 % confidence rating, which would suggest that our ML model displays a high level of precision and reliability with a negligible risk of error.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[118, 83, 463, 101]]<|/det|>
+## Validation of theoretical CVs and GCDs
+
+<|ref|>text<|/ref|><|det|>[[115, 122, 883, 273]]<|/det|>
+In this part, the simulations of CV and GCD images were done using basic equations from theoretical electrochemistry including Faradaic process with peak- shaped CV, \(^{[44]}\) and EDLC with box- shaped CV which relies on Eq. 2 and Eq. 3. The simulated images were then classified by the trained model (process 4- 5). The equation for CVs showing redox peaks is given as follows:
+
+<|ref|>equation<|/ref|><|det|>[[319, 290, 733, 345]]<|/det|>
+\[\frac{i}{i_{max}} = \frac{e^{\frac{F}{R\cdot T}}(E - E_{peak}^{0})}{1 + \left(e^{\frac{F}{R\cdot T}}(E - E_{peak}^{0})\right)^{2}} \quad \text{Eq. 2,}\]
+
+<|ref|>text<|/ref|><|det|>[[115, 371, 861, 471]]<|/det|>
+where \(\frac{i}{i_{max}}\) is the normalized current of the peak current function, \(F\) is the Faraday constant, \(R\) is the gas constant, \(T\) is the temperature, \(E\) is the applied potential and \(E_{peak}^{0}\) is the peak potential. The box- shaped EDLC current function is given by:
+
+<|ref|>equation<|/ref|><|det|>[[319, 490, 732, 524]]<|/det|>
+\[\frac{i}{i_{max}} = 1 - e^{-\frac{t}{R\cdot C}} \quad \text{Eq. 3,}\]
+
+<|ref|>text<|/ref|><|det|>[[115, 543, 881, 629]]<|/det|>
+where \(C\) is the capacitance, \(R\) is the resistance and \(t\) is the charging period. \(^{[45]}\) It was shown that capacitive behavior is more pronounced the further the CV shape deviates from peaked to rectangular (Figure 5a).
+
+<|ref|>text<|/ref|><|det|>[[115, 650, 881, 736]]<|/det|>
+Furthermore, simulating number of theoretical \(GCD\) images with the transition in curvature from straight to plateau feature could be applied with the classification model (process 2) in order to see the region of ambiguity. Using Eq. 4 by varying M parameter:
+
+<|ref|>equation<|/ref|><|det|>[[294, 755, 822, 800]]<|/det|>
+\[E = M\cdot \left(\frac{R\cdot T}{n\cdot F}\right)\log \left(\frac{\sqrt{t} - \sqrt{t}}{\sqrt{t}}\right) + E_{\tau /4} \quad \text{Eq. 4,}\]
+
+<|ref|>text<|/ref|><|det|>[[115, 813, 881, 899]]<|/det|>
+where \(E\) is the potential, \(n\) is the number of electron transfers, \(t\) is the charging/discharging time, \(\tau\) is the time constant, \(E_{\tau /4}\) is the quarter- wave potential and \(M\) is the mathematical factor permitting the manipulation of the galvanostatic curve to show either a plateau feature (as
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[116, 83, 881, 168]]<|/det|>
+found in battery material measurements) or straight line (as in supercapacitor material measurements), the continuum GCD curves were obtained, as shown in Figure 5b (blue, grey, and purple lines).
+
+<|ref|>image<|/ref|><|det|>[[133, 191, 850, 533]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[115, 554, 882, 673]]<|/det|>
+Figure 5 | The illustration of (a) classified theoretical CVs with Gaussian and box shapes as the components, and (b) classified theoretical galvanostatic charge (I) and discharge (II) curves obtained by using Eq 4. with a varying M parameter. The color of each curve is related to the probability of being battery (purple gradient bar) or capacitive material (blue gradient bar).
+
+<|ref|>text<|/ref|><|det|>[[115, 737, 883, 888]]<|/det|>
+Figure 5b(I) shows that a battery- type signature was found to apply for an \(M\) value range of between 1.6 and 7 (purple zone, with a 90- 100% confidence rating), whereas the prediction point to a pseudocapacitor- type for \(M\) values of between 7.1 and 19.6 (blue zone, with a 70- 100% confidence rating). Similarly, this result was also observed for theoretical discharging profiles, as shown in Figure 5b(II). However, in the grey zone when M is around
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 82, 883, 465]]<|/det|>
+7.0 during charge and 9.4 during discharge, respectively, the predictor was hesitant to define the signal type, suggesting that a certain ambiguity occurs when the curvature of the \(GCD\) signal is somewhere between a straight line and a plateau, as has already been observed and which is consistent with experimental measurements related to pseudocapacitive materials (Figure 6c). The most pertinent conclusion that can be drawn from this calculation is that our model demonstrated the transition region of \(GCD\) signals in accordance with the continuum transition concept as proposed by Fleischmann et al. \(^{[16]}\) . Our model clearly demonstrates the source of the confusion for both humans and computers, which stems from the fact that these behaviors all originate from faradaic processes where electron transfer is the elementary step. This explains why the results of theoretical studies only hold true for basic scenarios. More complex behaviors, however, are frequently observed in experimental measurements and account for vast amounts of data, as depicted in Figure 4.
+
+<|ref|>sub_title<|/ref|><|det|>[[118, 524, 819, 543]]<|/det|>
+## Revealing the nature of electrode materials through supervised machine-learning
+
+<|ref|>text<|/ref|><|det|>[[115, 563, 884, 911]]<|/det|>
+In accordance with the main purpose of this study, namely overcoming human limitations when it comes to understanding electrochemical signals, the objective in this section concerned clarifying the behavior of faradaic electrode materials. To this end, experimental \(CVs\) from Figure 4 were applied to the model to predict the capacitive tendency behavior of various electrode materials that conventionally can be calculated from \(\mathrm{dQ / dV} =\) constant in only simple cases such as supercapacitor materials but could be too complex to apply for pseudocapacitors. Well- known pseudocapacitive and battery materials from the literature, such as \(MnO_2\) and \(NMC\) , were compared not only to separate the signals produced by Processes 2 and 3 according to the conventional binary classification, but also to establish a new standard that we called capacitive tendency. Processes 4 and 5 broadened the classification range to create a statistical tendency representing an interpretable value: in the range of \(0\%\) denoting a
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 83, 880, 135]]<|/det|>
+battery, to \(100\%\) being a pseudocapacitor. Finally, we were able to predict the capacitive behavior of various electrode materials from experimental data, as demonstrated in Figure 6.
+
+<|ref|>image<|/ref|><|det|>[[115, 156, 880, 485]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[115, 506, 881, 655]]<|/det|>
+Figure 6 | Capacitive tendency prediction of experimental voltammograms of (a) the well-known pseudocapacitor and battery electrode materials \(MnO_2\) [46] and \(NMC\) [47] respectively, compared with the ambiguous CVs of \(Ag_{1 - 3x}La_{x}N_{2}NbO_{3}\) [37] and \(H_2TiNbO_{18}\) [36], respectively. Predicted (b) CVs and (c) GCDs of other electrode materials from the literature, as per Figure 4.
+
+<|ref|>text<|/ref|><|det|>[[115, 678, 883, 862]]<|/det|>
+As previously mentioned, the exemplary rectangular and peak shapes are unfortunately not often present when it comes to systems exhibiting fast charge/discharge behavior or when pseudocapacitive materials are investigated. Electrochemists thus find it difficult to analyze the voltammograms correctly in the face of such a variety of shapes, with even the \(CVs\) of \(V_2C\) , \(Nb_2O_5\) and nano- \(MoS_2\) electrode materials (Figure 6b) displaying a similar capacitive tendency of around \(52 - 53\%\) . This finding served to emphasize the necessity of using machine- learning
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[117, 83, 880, 135]]<|/det|>
+as a decisive tool for interpreting CV signals displaying a complexity that is beyond human discernment.
+
+<|ref|>sub_title<|/ref|><|det|>[[118, 197, 717, 216]]<|/det|>
+## The limitation of the binary classification battery vs. pseudocapacitor
+
+<|ref|>text<|/ref|><|det|>[[115, 234, 883, 683]]<|/det|>
+During this phase of our research, numerous scientific articles containing the keyword "battery" (2011 articles) or "pseudocapacitor" (1346 articles) (see Supplementary Information for DOI) were analyzed using our supervised ML model to provide a statistical analysis of the number of papers containing a keyword that was in contradiction to their signals. Briefly, the articles were randomly selected and their relevant CV and GCD signals were extracted and then simply classified into either battery or pseudocapacitive type using only Processes 2 and 3. The outputs in Figure 7 depict that around \(67\%\) of the papers with a "pseudocapacitor" keyword are consistent with their experimental observations. Unexpectedly, however, nearly \(50\%\) of the articles with a "battery" keyword displayed contradicting signals. These results serve to reinforce the fact that human- based interpretation could greatly benefit from being replaced with computing techniques such as ML. Apparently, our machine- learning classification technique showed the significant portion of the articles using binary keywords (battery or pseudocapacitor) that contradict (mismatched) with their electrochemical signal (Supporting Information Section 8.1- 8.6).
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[185, 81, 810, 450]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[115, 470, 882, 620]]<|/det|>
+Figure 7 | (a) The methodology behind the title classification of papers as either a battery or pseudocapacitor, followed by (b) CV and GCD extraction and then (c) the matched/mismatched outputs using our classifiers (Processes 1, 2 and 3). The percentage correlation between titles for pseudocapacitor and battery materials vs. correctly classified CVs and GCDs.
+
+<|ref|>text<|/ref|><|det|>[[117, 646, 882, 764]]<|/det|>
+This result perfectly shows the limit of the binary approach in the field. Because analysing a binary classification leads to this misclassification by the authors. Our approach, using capacitive tendency, allows a unification of the measurements, by including them in a "spectrum" as proposed by Frieshman et al[16], in a mathematical conjecture.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[118, 84, 472, 101]]<|/det|>
+## Online tool kit for CV/GCD classification
+
+<|ref|>text<|/ref|><|det|>[[115, 123, 883, 306]]<|/det|>
+Online tool kit for CV/GCD classificationIn order to facilitate the task of users worldwide when it comes to classifying the electrochemical behaviors (battery or pseudocapacitor) of their experimental data (CVs and GCDs), we have launched an online tool for analyzing these signals and providing an output in the form of a capacitive trend (or percentage confidence rating). It is publicly available at http://supercapacitor- battery- artificialintelligence.vistec.ac.th, and details are also provided in the Supporting Information.
+
+<|ref|>image<|/ref|><|det|>[[252, 325, 741, 667]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[166, 696, 828, 714]]<|/det|>
+Figure 8 | The online tool kit for CV and GCD classification based on our model.
+
+<|ref|>sub_title<|/ref|><|det|>[[178, 779, 277, 795]]<|/det|>
+## Conclusion
+
+<|ref|>text<|/ref|><|det|>[[117, 826, 883, 911]]<|/det|>
+ConclusionThe research presented herein has successfully managed to resolve the decades- old conundrum concerning the interpretation of electrochemical signals from CVs and GCDs by making full use of advanced computing technology in order to classify the behavior of
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 82, 883, 498]]<|/det|>
+materials as battery- like or pseudocapacitor- like. Specifically, we demonstrated that supervised ML is a powerful and accurate way to distinguish between these often complex signals. Our study also highlights the recurrent issue of the titles of scientific papers often contradicting the results of their own data, especially when it comes to those articles with “battery” in the title. This emphasizes the importance of using computer- based modelling for prediction as opposed to human- based analysis, which is far slower and more subjective and that leads to much unnecessary disagreement and debate. As a major contribution to our peers in the electrochemical energy storage community, we are delighted to announce a unique online tool based on our model toward simple online classification via our distinguishing marker, called capacitance tendency, affording them the possibility of a quick and easy standard to refer to when attempting to determine the nature of their new materials. Last but not least, featuring text- mining of material information with our classification tool could be an ultimate strategy for future perspectives on artificial intelligence for energy storage technology.
+
+<|ref|>sub_title<|/ref|><|det|>[[122, 577, 350, 594]]<|/det|>
+## Data and code availability
+
+<|ref|>text<|/ref|><|det|>[[115, 624, 883, 775]]<|/det|>
+Machine- learning models and datasets are made publicly available at GitHub repository: https://github.com/ice555mee/TB- robot_code- data or contact the author (olivier.fontaine@vistec.ac.th) for more information. The instruction is provided in both supporting information and on Github repository. The website is available via the link: http://supercapacitor- battery- artificialintelligence.vistec.ac.th/
+
+<|ref|>sub_title<|/ref|><|det|>[[118, 837, 214, 853]]<|/det|>
+## References
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+
+<|ref|>sub_title<|/ref|><|det|>[[120, 638, 288, 655]]<|/det|>
+## Acknowledgements
+
+<|ref|>text<|/ref|><|det|>[[118, 716, 880, 735]]<|/det|>
+Website hosting is supported by Vidyasirimedhi Institute of Science and Technology server.
+
+<|ref|>text<|/ref|><|det|>[[118, 750, 880, 768]]<|/det|>
+This work is supported by funding from Thailand Science Research and Innovation (TSRI)
+
+<|ref|>text<|/ref|><|det|>[[119, 783, 369, 800]]<|/det|>
+(Grant No. FRB660004/0457).
+
+<|ref|>sub_title<|/ref|><|det|>[[119, 823, 294, 840]]<|/det|>
+## Competing interests
+
+<|ref|>text<|/ref|><|det|>[[119, 863, 471, 880]]<|/det|>
+The authors declare no competing interests.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[44, 42, 312, 70]]<|/det|>
+## Supplementary Files
+
+<|ref|>text<|/ref|><|det|>[[44, 93, 765, 113]]<|/det|>
+This is a list of supplementary files associated with this preprint. Click to download.
+
+<|ref|>text<|/ref|><|det|>[[61, 130, 209, 149]]<|/det|>
+- ESISUB1.docx
+
+<--- Page Split --->
diff --git a/preprint/preprint__032a07311eb9bb5f9f4a079bca8cd4decf50b0f2c1fa36d909d6d9fbdf969e73/images_list.json b/preprint/preprint__032a07311eb9bb5f9f4a079bca8cd4decf50b0f2c1fa36d909d6d9fbdf969e73/images_list.json
new file mode 100644
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@@ -0,0 +1,47 @@
+[
+ {
+ "type": "image",
+ "img_path": "images/Figure_1.jpg",
+ "caption": "Figure 1",
+ "footnote": [],
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+ "page_idx": 9
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+ "img_path": "images/Figure_2.jpg",
+ "caption": "Figure 2",
+ "footnote": [],
+ "bbox": [
+ [
+ 95,
+ 66,
+ 765,
+ 777
+ ]
+ ],
+ "page_idx": 10
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_3.jpg",
+ "caption": "Figure 3",
+ "footnote": [],
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diff --git a/preprint/preprint__0353e3e01fab18c4f8a54e1bf5dc7c078c83cc6c97a3dfa961d5b8bce309eaef/images_list.json b/preprint/preprint__0353e3e01fab18c4f8a54e1bf5dc7c078c83cc6c97a3dfa961d5b8bce309eaef/images_list.json
new file mode 100644
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@@ -0,0 +1,56 @@
+[
+ {
+ "type": "image",
+ "img_path": "images/Figure_3.jpg",
+ "caption": "Fig. 3. N4CMT activity and substrate preferences in vivo and in vitro. a, Immuno-dot blot of total DNA extracted from E. coli Rosetta 2(DE3) strain transformed with recombinant N4CMT variants. DNA from non-transformed Rosetta 2(DE3) was used as a control. DNA was extracted after 4 h of IPTG-induced N4CMT expression; 400 ng of each DNA was spotted in one dot. Methyl marks are indicated on the right. b, Methylcytosine-sensitive digestion of E. coli DNA. Total DNA from Rosetta 2(DE3) strain, either transformed with recombinant N4CMTs (as shown on the top) or untransformed, was extracted 4 h post-induction; DNA (6.3 μg) was treated with McrBC. DNA from HepG2 liver cell line (H. sapiens) served as a positive control (500 ng). c, Immuno-dot blot of total E. coli DNA showing the role of the SPPY motif in N4CMT methylation. Same designations as in (A). d, Immuno-dot blot of total E. coli DNA extracted from different strains and treated with N4CMT. Rosetta 2(DE3) and dam-/dcm-, 950 ng per dot; BL21-Al and M28, 500 ng per dot. e, Immuno-dot blot with anti-4mC antibody for sAvL1-451 substrate treated with N4CMT allozymes and their catalytic site mutants in vitro. f, Nucleotide sequence conservation in A. vaga tandem repeats with high density of 4mC modifications. Interspecific conservation was determined from two A. vaga isolates plus the sibling species A. ricciae. Two bottom sequences show inserts m97 and m119 which confer N4CMT substrate properties to the pUC vector; conserved motifs are highlighted in red. g, Diagram of the A. vaga 4mC-rich 460-bp tandem repeat region and its substrate derivatives. Red arrows, modified cytosines. Conserved motifs are in purple. The dsDNA fragments used in activity assays are depicted on the bottom, with pluses and minuses summarizing N4CMT activity on the corresponding substrates. h-i, Immuno-dot blots with anti-4mC antibody for different substrates treated with recombinant",
+ "footnote": [],
+ "bbox": [],
+ "page_idx": 5
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_4.jpg",
+ "caption": "Fig. 4. Base modifications and histone modifications in A. vaga strains Av-ref (a, b, e) and AvL1 (c, d, f). a, c, Profiles and heatmaps for gene regions with transcription start (TS) and transcription termination (TT) sites. Profiles (top) show relative fold enrichment of H3K4me3, H3K9me3 and H3K27me3. Heatmaps (bottom) represent H3K4me3, H3K9me3 and H3K27me2 ChIP-seq reads, where each row corresponds to gene regions with \\(\\pm 3\\) kb from TS and TT boundaries. b, d, Profiles and heatmaps for TE annotations delimited by 5' and 3' boundaries. Profiles (top) show relative fold enrichment of H3K4me3, H3K9me3 and H3K27me3. Heatmaps (bottom) represent H3K4me3, H3K9me3 and H3K27me2 ChIP-seq reads, where each row corresponds to \\(\\pm 3\\) kb from 5' or 3' TE boundary. e, f, Intersection of 4mC and 6mA DIP-seq peaks with ChIP-seq peaks for histone modification marks. Profiles of 4mC and 6mA peaks intersecting with H3K4me3, H3K9me3 and H3K27me3 modification tags are shown for Av-ref (e) and AvL1 (f). The signal is shown over a scaled window \\(\\pm 3\\) kb from the peak; Y-axis, relative fold enrichment. Asterisk in (e) denotes artefactual signal from 9 contigs with anomalous coverage. g, DNA base methylation counts near histone marks. Y-axis, mean number of counts (SMRT-seq 4mC and 6mA) detected at H3K4me3, H3K9me3 and H3K27me3 ChIP-seq peaks. Counts are taken around each peak in a \\(\\pm 500\\) bp window. h, Circos plot illustrating DIP/ChIP peaks, methylation sites,",
+ "footnote": [],
+ "bbox": [
+ [
+ 115,
+ 80,
+ 840,
+ 670
+ ]
+ ],
+ "page_idx": 7
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_6.jpg",
+ "caption": "Fig. 6. Amplification of SETDB1 histone methyltransferases and preference for 4mC-methylated DNA. a, Domain architecture of bdelloid SETDB1 proteins. Square bracket marks cloned MBD domains; aa numbering is for Av_s314. b, Unrooted maximum likelihood phylogram of SETDB1 variants in bdelloids (blue), monogononts (green) and acanthocephalan (olive). Q1-Q3, quartets of homeologs formed by paleotetraploidy. Bottom clades include single copy SETDB1 in 3 protostome phyla. See Supplementary Data File 2 for aa sequences. Scale bar, aa substitutions per site. c, LINE retrotransposon content (% genome) and Piwi/Ago copy numbers in 6 monogonont (green) and 10 bdelloid (blue) species (Table S2). Standard deviation (% LINE) and copy counts are given for sequenced isolates (numbers in parentheses). d, Affinity of AvMBD for 4mC-methylated DNA in electrophoretic mobility shift assays. EMSA was performed using 0.05 nM \\(^{32}\\)P-labeled sAvL1-451 DNA and 3.75 nM AvMBD_s314 protein. Unmethylated and 4mC-methylated by N4CMT_B sAvL1-451 fragments were used as competitor DNA. e, AvMBD_s314 DNA binding preference for methylated DNA. Y-axis, per cent unbound \\(^{32}\\)P-labeled sAvL1-451 DNA for 3.75 nM AvMBD_s314 in the presence of unmethylated and 4mC-methylated sAvL1-451 competitor DNA (n=2, mean±SD). Asterisks, p<0.05. f, A simplified model of the self-reinforcing regulatory loop based on the ability of N4CMT and SETDB1 to cross-recognize methyl marks on histones (circle) and DNA (square), respectively. Shown are the relevant conserved",
+ "footnote": [],
+ "bbox": [],
+ "page_idx": 14
+ },
+ {
+ "type": "image",
+ "img_path": "images/Extended_Data_Figure_1.jpg",
+ "caption": "Extended Data Fig. 1. Base and dinucleotide composition features in A. vaga. a, Distribution of the observed/expected ratio of CpG dinucleotide frequency in Av-ref and AvL1 assemblies in a 1-kb sliding window (left panel) and in CDS regions (right panel). Its mean value, 1.103 and 1.032 for Av-ref and AvL1, respectively, indicates the lack of pronounced 5mC deamination signatures in gDNA. CDS ratio was calculated per gene, with 1.096 and 0.990 as mean CpG obs/exp values for Av-ref and AvL1, respectively. b, Nucleotide and dinucleotide composition frequencies across AvL1 TE annotations and 5' upstream regions.",
+ "footnote": [],
+ "bbox": [
+ [
+ 111,
+ 125,
+ 736,
+ 520
+ ]
+ ],
+ "page_idx": 17
+ },
+ {
+ "type": "image",
+ "img_path": "images/Extended_Data_Figure_9.jpg",
+ "caption": "Extended Data Fig. 9. MBD proteins from the A. vaga genome. a, Diagram of recombinant MBDs used in this study. S, S tag; His, His tag; MW, Molecular weight of protein in kDa. α1, β1, β2, β3, secondary structure elements outlined in Extended Data Fig. 8a. b-c, Binding of AvMBD to unmethylated (b) and 4mC-methylated by N4CMT_A (c) DNA. For electrophoretic mobility shift assays, 2 ng of \\(^{32}\\mathrm{P}\\) - sAvL1-451 were used with 50-100 ng of purified AvMBD proteins.",
+ "footnote": [],
+ "bbox": [],
+ "page_idx": 20
+ }
+]
\ No newline at end of file
diff --git a/preprint/preprint__0353e3e01fab18c4f8a54e1bf5dc7c078c83cc6c97a3dfa961d5b8bce309eaef/preprint__0353e3e01fab18c4f8a54e1bf5dc7c078c83cc6c97a3dfa961d5b8bce309eaef.mmd b/preprint/preprint__0353e3e01fab18c4f8a54e1bf5dc7c078c83cc6c97a3dfa961d5b8bce309eaef/preprint__0353e3e01fab18c4f8a54e1bf5dc7c078c83cc6c97a3dfa961d5b8bce309eaef.mmd
new file mode 100644
index 0000000000000000000000000000000000000000..b15826ac80a563ca0193bbcb4c35be2da60b61e3
--- /dev/null
+++ b/preprint/preprint__0353e3e01fab18c4f8a54e1bf5dc7c078c83cc6c97a3dfa961d5b8bce309eaef/preprint__0353e3e01fab18c4f8a54e1bf5dc7c078c83cc6c97a3dfa961d5b8bce309eaef.mmd
@@ -0,0 +1,575 @@
+
+# Bacterial N4-methylcytosine as an epigenetic mark in eukaryotic DNA
+
+Femando Rodriguez Marine Biological Laboratory https://orcid.org/0000- 0003- 4044- 8734 Irina Yushenova Marine Biological Laboratory https://orcid.org/0000- 0001- 6291- 6215 Daniel DiCorpo Marine Biological Laboratory Irina Arkhipova ( iarkhipova@mbl.edu ) Marine Biological Laboratory https://orcid.org/0000- 0002- 4805- 1339
+
+## Article
+
+Keywords: non- canonical modifications, amino- methyltransferase, horizontal gene transfer, transposable elements, retrotransposons, epigenetic silencing
+
+Posted Date: August 16th, 2021
+
+DOI: https://doi.org/10.21203/rs.3.rs- 360382/v1
+
+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 Nature Communications on February 28th, 2022. See the published version at https://doi.org/10.1038/s41467- 022- 28471- w.
+
+<--- Page Split --->
+
+# Bacterial N4-methylcytosine as an epigenetic mark in eukaryotic DNA
+
+1 Bacterial N4- methylcytosine as an epigenetic mark in eukaryotic DNA2 Fernando Rodriguez1,3, Irina A. Yushenova1,3, Daniel DiCorpo1,2, Irina R. Arkhipova1\*4 1Josephine Bay Paul Center for Comparative Molecular Biology and Evolution, Marine Biological Laboratory, Woods Hole, MA 02543, USA2Present address: Department of Biostatistics, Boston University School of Public Health, Boston, MA 02118, USA3These authors contributed equally to this work\*Correspondence: iarkhipova@mbl.edu (I.A.)
+
+Keywords: non- canonical modifications; amino- methyltransferase; horizontal gene transfer; transposable elements; retrotransposons; epigenetic silencing
+
+<--- Page Split --->
+
+In eukaryotes, 5- methylcytosine is the predominant DNA base modification, followed by N6- methyladenine. However, N4- methylcytosine (4mC) is confined to bacteria. Here we report that 4mC can serve as an epigenetic mark in eukaryotes. Bdeloid rotifers, freshwater invertebrates with transposon- poor genomes that are rich in foreign genes, lack C5- methyltransferases but encode an amino- methyltransferase, N4CMT, captured from bacteria \(>60\) Mya. N4CMT introduces 4mC into DNA, and its chromodomain shapes the "histone- read- DNA- write" architecture together with a "DNA- read- histone- write" SETDB1/eggless H3K9me3 histone methyltransferase variant preferentially binding 4mC- DNA, to maintain 4mC and silent chromatin at transposons and tandem repeats. Our results bring the third base modification into the eukaryotic repertoire, demonstrate how non- native DNA methyl groups can reshape complex epigenetic systems to suppress transposon proliferation, and establish horizontal gene transfer as the source of regulatory innovation in eukaryotes.
+
+Modification of nucleobases without changes in the underlying genetic code offers unmatched opportunities for "writing" extra information onto DNA, the primary carrier of hereditary material. Covalent association of modifying groups with DNA provides advantages over more easily removable carriers of epigenetic information, such as RNA or proteins, for potential transmission across cell divisions and generations. In bacteria and archaea, DNA modifications are first and foremost associated with restriction- modification (R- M) systems acting to discriminate and destroy the invading foreign DNA, although multiple "orphan" methyltransferases (MTases) may perform regulatory functions \(^{1,2}\) . Eukaryotes mostly use base modifications for regulatory purposes, with the predominant form of epigenetic modification in eukaryotic genomes being C5- methylcytosine (5mC) with its derivatives \(^{3,4}\) . Often called "the fifth base", 5mC plays an important role in genome defense against mobile genetic elements, and is often associated with transcriptional silencing, establishment of the closed chromatin configuration, and repressive histone modifications \(^{5}\) . The 5mC mark is introduced by C5- MTases, DNMT1 and DNMT3, thought to have originated from bacterial C5- MTases in early eukaryotes via fusions with additional domains interacting with proteins and DNA \(^{6}\) , while DNMT2 acts primarily on tRNA \(^{7,8}\) . Recently, another modified base, N6- methyladenine (6mA), gained attention as a novel form of epigenetic modification in diverse eukaryotes \(^{9- 11}\) . In 6mA, the methyl group is added to the exocyclic amino group of adenines by amino- MTases, some of which are related to RNA- modifying MTases \(^{10,12}\) . However, the third type of DNA methylation naturally occurring in bacteria, the N4- methylcytosine (4mC), has not been convincingly demonstrated in eukaryotes
+
+<--- Page Split --->
+
+13, and earlier claims of 4mC existence in eukaryotes could neither provide confirmation by orthogonal methods nor identify the corresponding enzymatic component. Here, we combine multiple lines of evidence to establish the first case of 4mC modification in eukaryotic genomes, investigate its recruitment as an epigenetic mark, and characterize the underlying enzymatic machinery, revealing how a horizontally transferred gene can become established in a complex regulatory network and maintained by selection over tens of millions of years of evolution.
+
+## Results
+
+A bacterial amino- MTase in bdelloid rotifers. Rotifers of the class Bdelloidea are tiny freshwater invertebrates a fraction of a millimeter long, characterized by clonal reproduction, eutely, direct development, syncytial tissues, and paleotetraploid genome structure 14. They are known for an unmatched ability to incorporate foreign genes into genomic DNA, largely preserving their functionality 15. In sequenced belloids, 8- 12% of coding sequences are of non- metazoan, mostly bacterial, origin 16- 18. Surprisingly, we found that one such bacterial gene in the sequenced bdelloid Adineta vaga 16 is represented by an allelic pair of MTases containing the N6_N4_MTase domain (PF01555), which is closely related to amino- MTases of bacterial R- M systems acting on the exocyclic amino group of adenines and cytosines (Fig. 1a). Its orthologs, sharing the same four conserved intron positions, are present in sequenced representatives of each major family of the class Bdelloidea, dating back 40- 60 Mya, but are absent from sequenced members of the sister class Monogononta or from any other sequenced eukaryotes (Fig. 1e,f). Both classes, however, encode each of the three MTase types previously implicated in adding 6mA marks to eukaryotic DNA: METTL4- like (PF05063: MT- A70), N6AMT1- like (PF05175: MTS) and N6AMT2- like (PF10237: N6- adenineMlase) 12,19- 22 (Fig. 1b,f). Notably, none of the sequenced rotifers encode the most common eukaryotic C5- MTases Dnmt1 or Dnmt3, harboring only the tRNA- modifying Dnmt2/Trdmt.
+
+The A. vaga N6_N4_MTase belongs to the permuted type, in which the catalytic domain is located N- terminally to the S- adenosylmethionine (AdoMet) binding domain 23 (Fig. 1a). Its evolutionary history (Fig. 1e) differs dramatically from that of 5mC- or N6A- MTases 6. The small non- permuted pan- eukaryotic MTases N6AMT1 and N6AMT2 (Fig. 1b), variably annotated either as N(6)- adenine MTases or as small N5- glutamine (HemK- like) and lysine (EEF1A) MTases, respectively, have been implicated in N6A methylation based on knockout/knockdown data 20,24, but do not carry N- or C- terminal extensions, and modify proteins rather than DNA in functional assays 25- 29, suggesting that in vivo perturbations may have indirect effects. The presumptive N6A- MTase METTL4_Av has a conserved N- terminal domain (KOG2356:
+
+<--- Page Split --->
+
+transcriptional activator, adenine- specific DNA methyltransferase) present in METTL4- like ORFs of most eukaryotes, including A. vaga (Fig. 1b, top); this permuted MTase, found in all belloids, may have persisted in eukaryotes throughout their evolutionary history (Fig. 1f, Table S1). In contrast, the bdelloid N6_N4_MTase has no eukaryotic homologs, and can be aligned only with permuted bacterial N4C- and N6A- MTases (Type II, subtype \(\beta\) ), which cluster in accordance with their target recognition domains (TRD) recognizing specific targets compiled in REBASE \(^{1,23,30}\) (Fig. 1e; Supplementary Data File S1). Interestingly, the bdelloid lineage clusters with phage MTases of unknown target specificity, and its closest bacterial homologs are N4C- MTases recognizing TCGA and CCSGG. Thus, we tentatively assigned it to N4C- MTases and named it N4CMT, since it harbors the catalytic SPPY motif shared with most bacterial N4C- MTases and differing from bacterial N6A- MTases (DPPY), eukaryotic N6AMT1 (NPPY), N6AMT2 (DPPY/F) or METTL4- like enzymes (DPPW, also seen in METTL3/IME4- like m6A- RNA MTases) \(^{12,23,31}\) (Table S2).
+
+Presence of 4mC and 6mA marks in genomic DNA. We next sought to find out whether recruitment of a horizontally transferred bacterial MTase resulted in establishment of bacterial epigenetic marks in bdelloid genomic DNA (gDNA). A strong indication that N4CMT could interact with chromatin to add 4mC to DNA comes from the presence of a eukaryotic chromosomal from the HP1/chromobox subfamily of methylated lysine- binding Royal family of structural folds \(^{32}\) at the C- terminus of the bacterial N6_N4_MTase moiety in sequenced bdelloids (Fig. 1a).
+
+Fig. 1. Putative DNA methyltransferases and modified bases in bdelloid rotifers. a-b, Domain structure of putative N4C (a) and N6A (b) bdelloid amino- MTases. PFAM/KOG domains are indicated; conserved catalytic motifs and S- adenosylmethionine (AdoMet) binding sites are flagged; numbers correspond to aa positions in A. vaga. See Supplementary Data File S1 for gene IDs and aa sequences. c, Immuno- dot- blot analysis of membrane- immobilized gDNA from A. vaga Av- ref (746 ng), AvL1 (500 ng), E. coli C2925 dam-/dcm- (550 ng) and E. coli M28 (2 μg) probed with anti- 4mC (top panel) and anti- 6mA (bottom panel) antibodies. d, Summary of gDNA digestion (+) with restriction enzymes differing by methylation sensitivity: Mbol (blocked by dam methylation); Dpnl (cleaves only dam methylated DNA); Sau3AI (not sensitive to dam or dcm methylation); McrBC (cleaves at any methylated cytosine). e, Neighbor- joining phylogram of permuted MTases of Type II, subtype \(\beta\) , displaying clustering by recognition sequences (obtained from REBASE). Clustering is not intended to uncover phylogenetic relationships in bacteria. Red arrow indicates acquisition of a chromodomain (CHD) by the bdelloid N4CMT. The source alignment is provided in Supplementary Data File S1. f, Phyletic distribution patterns of putative DNA methyltransferases implicated in 4mC, 6mA and 5mC addition. A consensus cladogram of metazoan phyla is shown on the left. g, Adineta vaga (isolate AvL1) under polychromatic polarization microscope. Photo credit: M. Shribak, I. Yushenova. Scale bar, 50 μm.
+
+<--- Page Split --->
+
+
+
+To detect 4mC/6mA marks in bdelloid genomes, we extracted gDNA from the A. vaga laboratory reference strain (hereafter Av- ref) \(^{16}\) fed with methyl- free E. coli (Table S3) and performed immuno- dot- blotting with anti- 4mC and anti- 6mA antibodies (Methods). We also extracted gDNA from the natural A. vaga isolate L1 (hereafter AvL1; Fig. 1g), which was caught in the wild and identified as A. vaga through morphological criteria and mtDNA phylogeny, but represents a distinct morphospecies within the A. vaga species complex, as its gDNA is only \(88\%\) identical to Av- ref \(^{33}\) . Fig. 1c shows that gDNA from Av- ref and AvL1 reacts positively with
+
+<--- Page Split --->
+
+both antibodies, suggesting the presence of 4mC and 6mA marks. Control DNAs isolated from the dam- /dcm-, DH5α and Top10 E. coli strains, or from E. coli M28 strain used as food (Table S3), did not react with anti- 4mC antibodies (Fig. 1c), and neither we observed any cross- reactivity of the anti- 4mC antibody with 5mC- containing human DNA (data not shown). Also consistent with the presence of modified cytosines were the results of treatment of total A. vaga gDNA with the McrBC endonuclease, which cleaves at methylated cytosines (5mC, 5hmC, 4mC) \(^{34,35}\) (Fig. 1d; see also Fig. 3b below). Together with the absence of C5- MTases, similarity of N4CMT to bacterial N4C- MTases (Fig. 1e) and the lack of 5mC deamination signatures in gDNA from observed/expected CpG ratios (Extended Data Fig. 1a), our data support the hypothesis that cytosines in bdelloids are modified at the N4- rather than C5- positions. Still, signals in gDNA may originate from residual methylated bacterial DNA from sources other than food. Thus, we sought to examine distribution of 4mC marks over annotated genomic features in bona fide eukaryotic contigs.
+
+Genome- wide analysis of 4mC and 6mA by DIP- seq. We exploited immunoreactivity of bdelloid DNA with anti- 4mC and anti- 6mA antibodies to study genome- wide distribution of these methylation marks by DIP- seq (DNA immunoprecipitation followed by sequencing, also called MeDIP- seq; see Methods). After read mapping to Av- ref, the MACS peak- calling tool identified 1008 and 1735 DIP- seq peaks (p- value \(< 1e - 5\) ) for 4mC and 6mA, respectively, which were broadly distributed throughout the assembly. To uncover biologically relevant patterns behind peak distribution, we compared peak coverage densities for 4mC and 6mA near annotated genomic features, such as gene coding sequences (CDS) and transposable elements (TEs), using different window and bin sizes. We visualized distribution of 4mC and 6mA sites near TEs by aligning TEs at the 5' end (profiles) or aligning TE bodies from 5' to 3' end at a fixed distance (metaprofiles), and plotting the tag occupancy, which shows the relative number of tags (peaks, base modifications) against the total number of TEs for each bin size within a pre- determined upstream and downstream window. Fig. 2a shows representative results for 5- kb window size. About one- half of 4mC peaks (468 out of 1008) and a quarter of 6mA peaks (430 out of 1735) are close to TEs, and 4mC shows elevated peak coverage density near TE insertions in comparison with 6mA (Fig. 2a, left), suggesting that TE insertions could be an important 4mC modification target. For gene annotations, modification density is much lower and appears inversed in comparison with TEs, with more 6mA depositions (1261 out of 1735) than 4mC (398 out of 1008) (Fig. 2a, center).
+
+<--- Page Split --->
+
+
+
+<--- Page Split --->
+
+Fig. 2. Genome-wide distribution of 4mC and 6mA methylation in A. vaga. a, Distribution of DIP-seq 4mC and 6mA sites around genes, TEs (metaprofiles) and 5'- end TE profiles in Av-ref, showing peak coverage in 25-bp bins within \(\pm 2.5\) kb of each feature. In metaprofiles, the body size feature, representing genes or TEs, is automated and normalized (0-100% length). TE 5'- profile shows 4mC and 6mA sites near 5' boundaries, aligning transposons at the 5' end. b, IPD ratios in AvL1 SMRT-seq data at four representative 4mC and 6mA modification sites. Purple and orange bars, Watson and Crick strands. c, Numbers of SMRT-seq 4mC and 6mA modified bases in 5-bp and 25-bp bin sizes within \(\pm 0.5\) kb and \(\pm 2.5\) kb of 5' TE boundaries. d, MEME-ChIP motif analysis of regions around SMRT-seq 4mC and 6mA sites. Windows of \(\pm 5\) , \(\pm 10\) and \(\pm 20\) bp were extracted and searched for significant motif enrichment. The p-value generated by MEME-ChIP is shown under each motif. e, Methylation fraction distribution at modified sites detected by SMRT-seq. Most 4mC sites are fully methylated (fraction=1); average methylation level of 6mA sites is 0.74. f, PacBio read coverage distribution by base modification sites. Minimal threshold coverage limit applied for calling 4mC and 6mA methylated sites to calculate methylation fraction per site in (e) is shown by a dashed line. g, Average numbers of 4mC and 6mA base modifications in protein-coding genes, TEs and tandem repeats. Average is calculated as the total number of modified sites divided by total number of annotations (unique IDs) in each feature and divided (normalized) by the genome fraction covered by such annotation in the genome (genes, 0.533; TE, 0.021; TR, 0.0084). h, Distribution of SMRT-seq 4mC and 6mA sites within genic features (CDS, intron, 5' UTR, 3' UTR, 5'- promoter region) and intergenic regions by average feature size (bp). i, DNA methylation density (mean number of SMRT counts) vs TE copy integrity (full, medium and short, as indicated).
+
+To find out whether peaks are distributed non- randomly, we examined the statistical significance of genomic correlations between peak distribution and annotated genomic features. Since functional interactions often depend on spatial proximity between the reference feature and the density of query features relative to it, we used spatial correlations as a proxy for functional analysis (Table S4). Genometric correlation analysis of annotated Av- ref scaffolds shows that 4mC peaks and TEs are non- uniformly distributed (p- value: 1.29E- 13, Kolmogorov- Smirnov test), and that the query features (4mC peaks) are closer than expected to the reference features (TEs) (Jaccard and permutation test). In contrast, we find that 6mA peaks and TEs are more uniformly (randomly) distributed (p- value: 0.036, Kolmogorov- Smirnov test), and that 6mA peaks tend to be further away from TEs (permutation test). When gene annotations are used as reference points, both 4mC and 6mA modifications are uniformly distributed, but for 6mA peaks the distance from genes is consistently small, while for 4mC peaks the distance from genes tends to be larger (Jaccard and permutation test).
+
+The presence and distribution of 4mC and 6mA DNA modifications in AvL1 strain was similarly interrogated by DIP- seq. We generated DIP- seq reads and mapped them to the AvL1 assembly (Methods). After peak calling with MACS, we identified 1473 and 1385 peaks (p- value \(< 1e - 05\) ) for 4mC and 6mA, respectively. To further understand methylation patterns in AvL1, we performed initial gene and TE annotations with fully automated training methods for gene prediction, using genomic and RNA- Seq data (Braker2; see Methods) (Table S5). AvL1 repeat library was constructed de novo, curated, and used to annotate TEs (Methods). Initial analysis showed that 4mC- DIP- seq and 6mA- DIP- seq peaks were more frequently deposited close to TEs than to genes, with peak coverage increasing over TEs. Extended Data Fig. 2a,b show the
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+peak analysis for a 5- kb window size, in which 1097 4mC peaks (out of 1473) and 1042 6mA peaks (out of 1385) are close to TEs, while 863 4mC and 813 6mA peaks are close to genes (excluding TEs). Genometric correlation analysis on AvL1 showed that both modification peaks, 4mC and 6mA, have a small absolute positive correlation (Table S4) and are closer than expected to TEs as reference features than to gene models (Jaccard and permutation test). In sum, DIP- seq data in both Av- ref and Av- L1 suggest preferential localization of 4mC over TEs.
+
+Modification analysis at single- base resolution by SMRT- seq. While immuno- dot- blots and differential gDNA digestion suggested the presence of 4mC in bdelloid gDNA, it was not possible to fully eliminate gDNA from commensal bacteria, even using methyl- free E. coli food strains and applying starvation/antibiotic treatments prior to DNA extraction (Methods). Hence, we chose not to use mass- spectrometry (MS) as a method to confirm the presence of 4mC in bdelloids, especially considering reports that unknown MS- peaks can comigrate with 4mC 13. Further, low resolution of the DIP- seq method limits the power of correlation analyses to the length of DNA fragments used for antibody binding (250- 450 bp), not to mention residual IgG binding to non- modified fragments inherent to the method 36. Thus, we chose to examine genome- wide distribution of modified bases by single- molecule real- time (SMRT) sequencing, which provides single- nucleotide resolution and allows validation of rotifer contigs (Methods).
+
+SMRT- based detection exploits the kinetic signatures of polymerase passage through modified vs non- modified bases and is quantified in terms of inter- pulse duration (IPD) ratios. It is best suited for detection of 4mC and 6mA, characterized by strong kinetic signatures, which require \(\sim 10\) - fold lower coverage than 5mC detection (Pacific Biosciences Methylene Analysis Technical Note) and is widely used in bacterial methylome analyses 30,37. We obtained PacBio reads (15 SMRT cells, totaling 9.87 Gb) from gDNA extracted from AvL1 eggs and analyzed the kinetic profiles with SMRT® Portal (Methods). Prior to quantification of modified bases, we bioinformatically removed residual bacterial contigs (Methods), which, as expected, show high methylation density.
+
+SMRT- analysis detected 4mC modifications on 21,016 cytosines (0.0643% of the total cytosines in the assembly) and 6mA modifications on 17,886 adenines (0.0236% of total adenines) using a minimum cutoff PacBio coverage defined in Fig. 2f (see Table S6 for comparison of 10x and 20x coverage levels). As with DIP- seq, SMRT- seq shows broad distribution of both modifications across the AvL1 assembly. Comparison of DIP- seq and SMRT- seq modification patterns shows a considerable overlap, with 36% of 4mC peaks and 32% of 6mA peaks overlapping with 4mC and 6mA identified by SMRT analysis, respectively, showing
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+that many peaks are conserved between eggs and adults. This overlap is quite substantial, given the modest percentage of modified bases, and is comparable to the overlap reported for 6mA and 5mC using the same orthogonal methods in mouse ESCs \(^{22}\) , even with developmental differences between eggs and adults not seen in protostomes, at least for 5mC \(^{38}\) .
+
+In contrast to the predominantly symmetric patterns of 5mC deposition at CpG doublets in eukaryotes, AvL1 shows mostly asymmetric patterns of methylation for both 4mC and 6mA, i.e. only one strand is usually modified (Fig. 2b shows typical examples). At 4mC sites, CpG and CpA dinucleotides are the most prevalent, making up \(74\%\) of modified doublets. For better identification of sequence preferences, we extracted different sequence windows (5, 10 and 20 bp) upstream and downstream from 4mC sites and searched for significant motif enrichment with MEME- ChIP (Methods) (Fig. 2d). For 4mC, three motifs with CG or CA dinucleotides were most significantly enriched (from \(p = 2.8e - 593\) to \(p = 1.4e - 513\) ). For 6mA, a similar approach yielded three significantly enriched short motifs (from \(p = 7.3e - 656\) to \(p = 4.3e - 420\) ) and increasing the motif length yielded GA embedded in an A- rich region ( \(p = 2.4e - 1243\) ). The dinucleotide GA is the most prevalent at 6mA sites, and the most common triplets AGG or GAA, when combined, compose \(34\%\) of all 6mA triplets. These findings parallel 6mA motif preferences in most metazoans but differ from unicellular eukaryotes and early- diverging fungi, in which the symmetric 6mA methylation targets ApT dinucleotides (Table S1).
+
+In addition to measuring coverage at each 4mC and 6mA site, the SMRT- analysis pipeline reports different methylation levels (fraction), referring to the proportion of times a given nucleotide is identified as methylated (1 equals \(100\%\) methylation). Notably, most of the 4mC methylation corresponds to high- fraction sites (0.5- 1), dominating over low- fraction sites (0.1- 0.5) at a ratio 71:1, with \(58\%\) of 4mC sites being fully methylated (Fig. 2e). Methylation at 6mA sites appears more dynamic, although the highly methylated (0.8- 1) and moderately methylated (0.5- 0.8) sites still dominate over low- fraction sites (0.1- 0.5), which constitute only \(12\%\) of 6mA sites.
+
+We plotted the density of 4mC and 6mA in AvL1 (DIP- seq and SMRT- seq) across annotated features (genes, TEs, tandem repeats) (Fig. 2c,g; Extended Data Fig. 2a- d). The 4mC and 6mA tag densities reach similar levels for each annotation type (Fig. 2g). The 4mC density appears higher near TE 5'- ends (Fig. 2c), as was also seen in Av- ref DIP- seq showing increased deposition of 4mC peaks close to TE 5' ends (Fig. 2a, right). Nevertheless, a considerable number of 6mA sites (DIP- seq and SMRT- seq) is found near TEs (Fig. 2g,i; Extended Data Fig. 2b,d).
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+Methylation density in tandem repeats (TR) deserves a special mention. Fig. 2g shows that the average counts of 4mC and 6mA sites in TRs are elevated in comparison with TEs and genes. According to TRF annotation, only a small fraction (0.84%) of the AvL1 assembly is composed of TRs. Inspection of SMRT-seq modification data identified two repeats with very high density of methylated sites, located mainly on contigs 1882 and 785 adjacent to large Athena retroelements \(^{39}\) . Such extra-high modification density, approaching that in bacterial contigs, mostly accounts for over- representation of modified bases in TRs, leaving other TRs virtually unmethylated. In subsequent experiments, we took advantage of the high methylation susceptibility of these repeats (see below).
+
+In genes, the PacBio methylation tag density is much lower than that in TEs and TRs (Fig. 2g). Still, genic regions cover slightly over one- half of the AvL1 genome, attracting a sizeable fraction of 4mC and 6mA modifications (52% of 4mC and 54% of 4mA). To correlate methyl marks with gene structure, we examined 4mC and 6mA distribution using more refined features: gene bodies, promoters within 2 kb upstream of the transcription start site (TS), and intergenic regions which may include TEs and TRs, with gene bodies further subdivided into CDS (exons excluding 5' and 3' UTRs), introns, 5' and 3' UTRs (Fig. 2h). Altogether, base modifications are found in all features (CDS, promoters and intergenic regions), however when the density per average feature size is compared, CDS regions appear denser than introns (Fig. 2h), which is reminiscent of 5mC patterns in mammals \(^{40}\) .
+
+In AvL1, DIP- seq peaks show enrichment with 4mC and 6mA within TE bodies (Extended Data Fig. 2b). The PacBio 4mC sites display a trend for enrichment near the 5' TE boundaries, while 6mA sites show a local depletion (Fig. 2c), which is visible even though TE promoters are located near TE 5'- ends but not necessarily at the boundary, and is not due to a local change in base or dinucleotide composition (Extended Data Fig. 1b). Moreover, 4mC and 6mA marks are primarily found over full- length or nearly full- length TE copies and are practically absent from shorter TE fragments spanning less than one- half of TE consensi, suggesting that active TE copies are preferentially targeted (Fig. 2,i; see legend). The lack of 4mC and 6mA marks in shorter TE copies together with concentration of 4mC near 5' TE boundaries suggest that their deposition is associated with transcriptional activity.
+
+To visualize 4mC and 6mA densities in TRs, TEs and genes on representative contigs, we built the corresponding Circos plots (Extended Data Fig. 3a- d), in which the PacBio modification layer is plotted as modification fraction (from 0 to 1) for each modified base. In agreement with Fig. 2e, highly methylated 4mC sites dominate in most locations, while 6mA sites are distributed over a much wider methylated fraction range and across a wider feature range. Importantly,
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+higher densities of modified bases are not correlated with areas of higher PacBio read coverage, indicating that over- representation of methyl marks over TEs and TRs is not due to excess coverage in these regions (e.g. mtDNA at 800x coverage displays very few such marks) (Extended Data Fig. 3e). Extended Data Fig. 3c,d shows that long copies of Vesta and Athena retrotransposons attract both methyl marks, but short copies do not.
+
+N4CMT acts as 4mC- methyltransferase in E. coli. While the presence of METTL4- like (or N6AMT- like) MTases in bdelloids likely ensures deposition of 6mA marks onto gDNA, the existence of N4CMT per se cannot be taken as evidence of its N4C- MTase activity, since the N6_N4_MTase domain repeatedly evolved 6mA or 4mC specificities 41. However, it is not possible to disrupt N4CMT function in vivo, as the tools for genetic manipulation in bdelloids are yet to be developed. We therefore sought to investigate the activity of the recombinant N4CMT protein in a heterologous system. To this end, N4CMT was PCR- amplified from A. vaga cDNA to obtain intronless versions (Methods; Table S7). Amplicons were cloned into pET29b expression vector with the N- terminal S- tag and the C- terminal 6xHis- tag and expressed in E. coli. We examined two A. vaga allozymes A and B, which differ by six amino acids (aa): three in the N6_N4_MTase domain and three in the chromodomain- containing C- terminus (Table S8; Extended Data Fig. 4a). We also tested two inter- allelic recombinants swapping the rightmost substitution near the C- terminal His- tag, which may have arisen during rotifer cultivation or PCR amplification, and two 3'- truncated derivatives with the C- terminal chromodomain removed.
+
+To assess N4CMT activity in vivo, its expression was induced by adding IPTG to the Rosetta 2(DE3) E. coli transformed with plasmid- borne N4CMT, and gDNA was extracted 4h post- induction (Methods). Fig. 3a shows the immuno- dot- blot of membrane- immobilized gDNAs probed with anti- 4mC and anti- 6mA antibodies, with 4mC signal observed from full- length N4CMT allozymes in the absence of signal from the untransformed host strain. As expected in the dam+ background, 6mA methylation was detected in all samples, thereby serving as an internal DNA control. Not surprisingly, removal of the chromodomain, which leaves a core MTase equal in length to its bacterial counterparts, did not reduce its activity, and even led to elevated signal intensity due to better solubility of the 33- kDa vs 45- kDa enzyme (Fig. 3a, N4CMT- \(\Delta\) Cbx). The N4CMT_A allozyme mostly showed weaker activity, suggesting that substitutions in the presumed TRD region of the N6_N4_MTase domain affect protein solubility or interaction with target DNA. These findings were corroborated by digestion of corresponding gDNAs with the McrBC endonuclease, which cleaves DNA at modified cytosines. Indeed, DNAs extracted from Rosetta 2(DE3) transformed with six N4CMT- expressing plasmids, as well as the
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+control human DNA, were readily digested with McrBC, while DNA from the untransformed dcm- strain was not (Fig. 3b).
+
+Finally, to ensure that the observed activity is directly attributable to N4CMT, we created N4CMT mutants in which the catalytic SPPY motif was replaced with APPA (Table S8). Fig. 3c shows that 4mC addition is abolished after substitution of the catalytic Ser and Tyr residues with Ala, indicating that N4CMT is responsible for adding N4- methyl groups to cytosines in dsDNA, with SPPY as the catalytic motif, thereby justifying our initial N4CMT designation.
+
+In vitro activity and substrate specificity of N4CMT. Next, we sought to find out whether recombinant N4CMT displays in vitro activity, as do other bacterial MTases. To this end, N4CMT was expressed in E. coli, partially purified by immobilized metal- affinity chromatography (Extended Data Fig. 4b,c), and used to methylate E. coli gDNA for 4 h at \(25^{\circ}C\) in \(1\times M.BamHI\) buffer (NEB) supplemented with \(80~\mu \mathrm{M}\) S- adenosylmethionine as a donor of methyl groups (Methods). Further, to check if pre- existing N6A- and C5- methyl groups could modulate the efficiency of N4C methylation, we used as substrates gDNA from five E. coli strains differing by genetic backgrounds with regard to methylation: Rosetta 2(DE3) and BL21(DE3) (both \(dam+\) \(dcm- )\) , derived from E. coli B, and three E. coli K12 derivatives (methyl- positive M28 ( \(dam+\) \(dcm+\) ) and methyl- negative ER2738 ( \(dam- dcm- EcoK1- )\) and ER2925 ( \(dam- dcm- )\) ) (Table S3). After incubation, samples and control DNAs were spotted on two identical membranes and probed with anti- 4mC and anti- 6mA antibodies, respectively; the latter served as an internal control and agreed with expectations from the genetic background of each strain (Fig. 3d; Extended Data Fig. 4e). Interestingly, \(dam+ dcm- E. coli B\) derivatives displayed stronger signal than \(dam- dcm- and dam+ dcm+\) strains, suggesting that pre- existing 6mA marks might facilitate 4mC addition, and that the presence of 5mC in the carbon ring of the cytosine may interfere with 4mC addition at the neigboring amino group. Activity in E. coli strains is summarized in Table S9.
+
+We also checked N4CMT for in vitro activity on dsDNA substrates (Fig. 3h). The positive control (M.BamHI- methylated pUC19) was readily detected with anti- N4mC antibodies. However, unmethylated pUC19 and pBluescript \(\mathsf{SK}+\) , grown in the dam- dcm- background, acquired only barely detectable 4mC marks upon N4CMT treatment. A more favorable in vitro substrate was N4CMT itself, as inspection of AvL1 PacBio data revealed 4mC marks over its ORF, indicating that it serves as its own substrate in vivo. Indeed, PCR- amplified N4CMT_A and B fragments yielded 4mC signal in vitro, hinting at the possibility of self- regulation in vivo.
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+Fig. 3. N4CMT activity and substrate preferences in vivo and in vitro. a, Immuno-dot blot of total DNA extracted from E. coli Rosetta 2(DE3) strain transformed with recombinant N4CMT variants. DNA from non-transformed Rosetta 2(DE3) was used as a control. DNA was extracted after 4 h of IPTG-induced N4CMT expression; 400 ng of each DNA was spotted in one dot. Methyl marks are indicated on the right. b, Methylcytosine-sensitive digestion of E. coli DNA. Total DNA from Rosetta 2(DE3) strain, either transformed with recombinant N4CMTs (as shown on the top) or untransformed, was extracted 4 h post-induction; DNA (6.3 μg) was treated with McrBC. DNA from HepG2 liver cell line (H. sapiens) served as a positive control (500 ng). c, Immuno-dot blot of total E. coli DNA showing the role of the SPPY motif in N4CMT methylation. Same designations as in (A). d, Immuno-dot blot of total E. coli DNA extracted from different strains and treated with N4CMT. Rosetta 2(DE3) and dam-/dcm-, 950 ng per dot; BL21-Al and M28, 500 ng per dot. e, Immuno-dot blot with anti-4mC antibody for sAvL1-451 substrate treated with N4CMT allozymes and their catalytic site mutants in vitro. f, Nucleotide sequence conservation in A. vaga tandem repeats with high density of 4mC modifications. Interspecific conservation was determined from two A. vaga isolates plus the sibling species A. ricciae. Two bottom sequences show inserts m97 and m119 which confer N4CMT substrate properties to the pUC vector; conserved motifs are highlighted in red. g, Diagram of the A. vaga 4mC-rich 460-bp tandem repeat region and its substrate derivatives. Red arrows, modified cytosines. Conserved motifs are in purple. The dsDNA fragments used in activity assays are depicted on the bottom, with pluses and minuses summarizing N4CMT activity on the corresponding substrates. h-i, Immuno-dot blots with anti-4mC antibody for different substrates treated with recombinant
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+N4CMT allozymes. N4CNT_A methylation is weak but visible at higher exposures. Positive control, 100 ng M.BamHI-treated pUC19. In (h), 500 ng of each DNA was loaded per dot, except for sAvL1- 30 (6 \(\mu \mathrm{g}\) ). In (i), 1 \(\mu \mathrm{g}\) of pUC19 plasmids (grown in dam- /dcm- E. coli strain) was loaded per dot. Linear dsDNA fragments (sAvL1- 200, sAvL1- 209, sAvL1- 451) were equalized to 600 ng.
+
+The inability of empty plasmids to serve as efficient substrates may be explained by the lack of cytosines in a rotifer sequence context favored by N4CMT. We performed in vitro assays on the \(\sim 460\) - bp tandem repeat from AvL1 DNA with high density of DNA modifications (see above; Fig. 3f,g), reasoning that it would serve as an efficient substrate in vitro. The PCR primers, spanning 451 bp of the repeat, amplified 1, 2 and 3 repeat units, which were separately used as substrates. We also annealed two complementary oligonucleotides to form a 30- bp dsDNA fragment containing the cytosines modified with 100% efficiency in SMRT- seq data (Fig. 3g; Table S7). The 451- bp fragment indeed served as an efficient substrate in vitro (Fig. 3h,i), although increasing the number of repeat units did not improve methylation efficiency (Extended Data Fig. 4d). However, the short 30- bp fragment failed to yield detectable signal, even when used in large amounts (Fig. 3h). Another short G- rich substrate, made of annealed GT- rich repeat- containing complementary oligonucleotides (Table S7), also failed to acquire 4mC (not shown). In agreement with in vivo results, the SPPY \(\rightarrow\) APPA catalytic mutants were unable to add 4mC to the 451- bp fragment, reconfirming the identity of catalytic residues in vitro and ruling out any co- purifying MTases (Fig. 3e). To test for 6mA addition, we used PCR- generated 405- and 589- bp fragments marked by 6mA in AvL1 SMRT- seq data (Table S7). No 6mA was acquired upon incubation with N4CMT, suggesting that it lacks 6mA MTase activity (not shown). We further dissected the 451- bp fragment into sub- fragments of 127 bp and 357 bp, to check whether they would serve as substrates (Fig. 3g). While the 357- bp fragment was readily modified by N4CMT, the 127- bp fragment was not, perhaps due to minimal length requirements (Extended Data Fig. 4d,e). Alternatively, it may be that N4CMT, which underwent horizontal transfer from a prokaryote relatively recently on an evolutionary time scale in comparison with METTL4- or DNMT- like MTases, retains target specificity in its TRD and prefers one fragment over the other. In support of this idea, we identified a partially homologous 750- bp AvL1 tandem repeat, similarly associated with an Athena retroelement. Aligning it with a 481- bp tandem repeat from another AvL1 contig with high density of modifications, we defined a bipartite motif common to these repeat units (Fig. 3f,g). We further searched Av- ref and the sibling species A. ricciae for sequences homologous to the AvL1 460- bp repeat. In Av- ref, we identified 5 contigs with 174-, 482- and 660- bp tandem repeat units partially homologous to AvL1 repeat, all adjacent to Athena- W1; in A. ricciae, two contigs carried 6 and 11 units of a 490- bp tandem repeat 74% identical to AvL1, with the bipartite motif (Extended Data Fig. 4f).
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+Dividing the 451- bp fragment into two approximately equal parts (200 and 209 bp) yielded no detectable signals (Fig. 3,i), possibly due to insufficient fragment size. Since the positive sAvL1- 357 bp fragment contains only one part of the bipartite motif, we tested a similarly sized PCR fragment (sAvL1- 371 on Fig. 3g) containing the other part of the motif. However, it was not methylated by N4CMT, suggesting that this part is not essential in vitro (Extended Data Fig. 4e), although it may play a role in vivo. Most importantly, insertion of short 97- bp or 119- bp fragments with the bipartite motif (Fig. 3f,g) into pUC19, initially unable to act as a substrate, converted it into an efficient in vitro substrate (Fig. 3,i). Thus, an MTase of bacterial origin shows preference for certain recognition sequences, which might have served as targets in the distant evolutionary past.
+
+Base modifications and histone modifications. In the context of eukaryotic chromosomal DNA environment in A. vaga, any intrinsic target preferences of N4CMT manifested in vitro, while apparently yielding higher 4mC densities in a subset of tandem repeats, should not necessarily be required for 4mC deposition in other genomic regions, which may instead be facilitated by the N4CMT C- terminal chromodomain of the chromobox type (CBX) \(^{32}\) . CBX is expected to recognize methylated lysine residues K9 and K27, the best- studied heterochromatic marks embedded in the ARKS motif at the N- terminus of histone H3, which are typically associated with transcriptionally silent chromatin and frequently overlap, both in terms of antibody cross- reactivity and similar function in TE repression \(^{42 - 45}\) . To associate DNA methylation marks with specific histone modifications, we performed chromatin immunoprecipitation followed by deep sequencing (ChIP- seq) on A. vaga chromatin with anti- H3K9me3 and anti- H3K27me3 antibodies (Methods). For contrasting comparison with active chromatin, we used the anti- H3K4me3 antibody, which recognizes the histone modification typically associated with active transcription start (TS) sites \(^{42,46}\) . After validating the antibodies by immuno- dot- blotting (Methods), we profiled the distribution of these three H3 modifications in Av- ref and AvL1 by ChIP- seq. We found that H3K9me3, a mark for constitutive heterochromatin, often co- localizes with H3K27me3 known to characterize facultative heterochromatin, but not with H3K4me3, which marks active genes (Table S10). As expected, host genes display significant H3K4me3 enrichment, which typically covers 1- 2 kb around the TS and shows a characteristic bimodal peak in both strains (Fig. 4a,c top). In contrast, H3K9me3 and H3K27me3 enrichment is observed mostly over TEs and covers the entire TE body, often extending upstream and downstream from a TE insertion, which may be indicative of spreading (Fig. 4b,d top).
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+Fig. 4. Base modifications and histone modifications in A. vaga strains Av-ref (a, b, e) and AvL1 (c, d, f). a, c, Profiles and heatmaps for gene regions with transcription start (TS) and transcription termination (TT) sites. Profiles (top) show relative fold enrichment of H3K4me3, H3K9me3 and H3K27me3. Heatmaps (bottom) represent H3K4me3, H3K9me3 and H3K27me2 ChIP-seq reads, where each row corresponds to gene regions with \(\pm 3\) kb from TS and TT boundaries. b, d, Profiles and heatmaps for TE annotations delimited by 5' and 3' boundaries. Profiles (top) show relative fold enrichment of H3K4me3, H3K9me3 and H3K27me3. Heatmaps (bottom) represent H3K4me3, H3K9me3 and H3K27me2 ChIP-seq reads, where each row corresponds to \(\pm 3\) kb from 5' or 3' TE boundary. e, f, Intersection of 4mC and 6mA DIP-seq peaks with ChIP-seq peaks for histone modification marks. Profiles of 4mC and 6mA peaks intersecting with H3K4me3, H3K9me3 and H3K27me3 modification tags are shown for Av-ref (e) and AvL1 (f). The signal is shown over a scaled window \(\pm 3\) kb from the peak; Y-axis, relative fold enrichment. Asterisk in (e) denotes artefactual signal from 9 contigs with anomalous coverage. g, DNA base methylation counts near histone marks. Y-axis, mean number of counts (SMRT-seq 4mC and 6mA) detected at H3K4me3, H3K9me3 and H3K27me3 ChIP-seq peaks. Counts are taken around each peak in a \(\pm 500\) bp window. h, Circos plot illustrating DIP/ChIP peaks, methylation sites,
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+sequencing read coverage and gene/TE annotations in selected Av- ref and AvL1 contigs. Features are explained in the key; source details are in Methods. SMRT- seq DNA methylation marks are shown within the PacBio layer in AvL1 for 4mC (blue triangle) and 6mA (red square). Mark height in the ring shows methylation fraction (0 to 1). Green line, RNA- seq coverage; purple line, small RNA coverage in Av- ref.
+
+To explore association of 4mC and 6mA with active or repressive histone marks, we used ChIP- seq data for the euchromatic mark (H3K4me3) and two heterochromatic marks (H3K9me3 and H3K27me3) as a proxy for active and silent chromatin, respectively. The relatively low resolution of DIP- seq precludes genome- wide extrapolations in Av- ref, allowing only initial comparisons. For 6mA- DIP- seq peaks, \(13.6\%\) intersected with regions bearing euchromatic histone modifications (H3K4me3), while only \(4.4\%\) overlapped with heterochromatic histone modifications (H3K9me3 and H3K27me3 combined). For 4mC- DIP- seq peaks, \(6.5\%\) intersected with regions bearing heterochromatic histone modifications (H3K9me3 and H3K27me3), but only a minor fraction \((1.5\%)\) overlapped with H3K4- marked regions. Following normalization and aggregation of aligned reads in ChIP- seq datasets, the analysis reveals that DIP- seq peaks (4mC and 6mA) show pronounced superposition with the boundaries of H3K9me3 and H3K27me3 covered regions, however little if any overlap is seen with H3K4me3 (Fig. 4e).
+
+In AvL1, for 4mC- DIP- seq peaks, \(42.3\%\) intersected with regions bearing heterochromatic histone modifications (H3K9me3 and H3K27me3 combined), but only \(6.6\%\) overlapped with H3K4me3- marked regions. Similarly, for 6mA- DIP- seq peaks, \(42.9\%\) overlapped with heterochromatic histone modifications (H3K9me3 and H3K27me3 combined), but only \(6.3\%\) intersected with regions bearing euchromatic H3K4me3 modifications. After normalization of aligned reads in the ChIP- seq dataset, we confirmed that DIP- seq peaks (4mC and 6mA) are strongly correlated with H3K9me3 and H3K27me3 heterochromatic peaks (Fig. 4f). Although initial analysis yielded some correlation of H3K4me3 reads with DIP- seq peaks, after cluster analysis (deepTools option - kmeans with - outFileSortedRegions) we found that the signal originates from only 9 contigs, is not correlated with H3K4me3 peaks called by MACS2, and likely stems from atypically high coverage in H3K4me3 reads. As seen in plotted examples for three of these contigs, no H3K4 methylation marks are visible (As1882 and As785, Extended Data Fig. 3a), at least in the vicinity of DIP- seq marked regions (As1218, Fig. 4h). Thus, the presence of DNA methyl marks is preferentially associated with silent chromatin in both strains. A similar pattern is observed in AvL1 PacBio SMRT analysis, where the 4mC and 6mA marks are more frequently associated with inactive chromatin domains marked by H3K9me3 and especially H3K27me3 (Fig. 4g). On balance, these results support the view that, in addition to any intrinsic target specificity of N4CMT, its action in the genome may be directed by the CBX moiety, targeting MTase activity to chromatin regions with repressive histone marks.
+
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+Methylomes, transcriptomes and small RNAs in the chromatin context. To associate histone marks with transcriptionally active or repressed genes in A. vaga, we plotted our RNA- seq data for genes co- localizing with either active or repressive H3Kme3 histone marks (Methods). As expected, genes near H3K4me3 have significantly higher RPKM (reads per kilobase of transcript per million mapped reads) values (ANOVA p- val <0.01) than genes with heterochromatic histone marks (H3K9me3, H3K27me3) or no marks (Fig. 5a). AvL1 displays the same pattern (Extended Data Fig. 6a). Further, tentative designation of 6mA modification as an active epigenetic mark \(^{9,10}\) prompted us to explore its correlation with gene transcription. The A. vaga gene dataset, after removing TE- derived genes, was divided into two groups, with and without presence of 6mA peaks within a window size of \(\pm 500\) bp of each gene ID, and RPKM values were counted in both groups. We found that genes with 6mA depositions tend to have higher RPKM than genes without 6mA (t- test p- val: 2.2E- 16, Fig. 5b bottom). For 4mC modifications, no significant differences in gene expression were seen between genes with or without 4mC marks (Fig. 5b top). A detailed analysis of 6mA distribution in genes and their promoters, which shows that only a subset of genes is affected, and rules out contribution of \(\mathrm{m^6A}\) in RNA, is given in the Supplementary Note.
+
+A different picture was observed for TEs. The exceptionally low TE content and diversified small RNA (sRNA) silencing machinery in bdelloids, averaging 20 Piwi/Ago and 30 RdRP variants, implies tight controls on TE proliferation via efficient silencing \(^{16,47}\) . In A. vaga, virtually every active TE family displays coverage by pi- like RNAs, which is correlated with low transcriptional activity \(^{48}\) . We examined association of transcript levels of TE- related genes with DIP- seq peaks (Methods). While TE- related genes with or without 6mA did not show much difference in RPKM values, TE- related genes with 4mC marks showed a significant decrease when compared to those without 4mC (t- test p- val: 6.8E- 8, Fig. 5c, top). Thus, in expressed TEs 4mC may be regarded as a repressive mark. Note that co- localization of 4mC and 6mA is compatible with repression, as 6mA is involved in an adversarial network preserving Polycomb silencing \(^{22}\) .
+
+A significant overlap between TEs and heterochromatin, defined by H3K9me3 and H3K27me3 depositions (Fig. 4b,d), is paralleled by an overlap between TEs and sRNAs aligned to Av- ref (Fig. 5d; Methods). We analyzed sRNA association with histone marks and with 4mC/6mA DIP- seq peaks. Relative fold excess of sRNA is evident at heterochromatic H3K9me3 and H3K27me3 peaks and extends into nearby regions; in contrast, sRNA enrichment is low within H3K4me3 peaks, which mark active genes (Fig. 5e). Comparison of sRNA vs DIP- seq peaks for 4mC/6mA shows enrichment within DIP- seq peaks, with 4mC peaks having higher
+
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+relative fold enrichment than 6mA (Fig. 5f). To estimate the proportion of DIP-seq peaks contributing to each sRNA profile, we clusterized the peaks with the k-means algorithm, sorting by sRNA coverage (deepTools option --kmeans --outFileSortedRegions), which showed that \(\sim 25\%\) and \(\sim 15\%\) of 4mC and 6mA peaks, respectively, display small RNA enrichment. The overlap between sRNA and DIP-seq peaks is localized to the peak area, while sRNA enrichment at heterochromatic ChIP-seq peaks extends further into adjacent sequences, which may indicate spreading. Although the exact pathways linking piRNAs to histone and DNA methylation layers remain to be defined, the highly diversified PIWI proteins may serve as connectors to both layers.
+
+
+
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+Fig. 5. Association of transcript and small RNA levels with histone and DNA methylation. a, Box plot showing Av- ref gene expression levels (log2RPKM) associated with co- localized H3K4me3, H3K9me3, H3K27me3, and both H3K9- 27me3 marks or without histone marks. ANOVA analysis shows significant differences in expression, with genes associated with the H3K4me3 mark displaying the highest RPKM (reads per kilobase per million mapped reads). b- c, RPKM values associated with DIP- seq 4mC and 6mA base modifications in A. vaga. TE genes (C) are derived from Av- ref automated gene models after positively intersecting with TE annotations. Box represents the first and third quartiles; line, the median. The p- values were calculated by a two- tailed Student's t- test, with asterisks indicating significant differences. d- f, Distribution of sRNA with respect to genes and TEs (d), H3K4, H3K9, H3K27 ChIP- seq peaks (e), and IP4mC, IP6mA DIP- seq peaks (f). Relative fold enrichment is shown as reads per genomic context (RPGC normalization). In gene and TE profiles, regions in the map comprise gene bodies (5 for TS and 3 for TT) or TE bodies (5 for the 5'- boundary and 3 for the 3'- boundary) with \(\pm 3\) kb flanks. Peak profiles are represented by peak body flanked by \(\pm 3\) kb.
+
+Interpreting the 4mC marks. To identify possible readers of bacterial marks, we searched for candidate proteins capable of discriminating between methylated and unmethylated cytosines. All known DNA methyl groups protrude from the major groove of the B- form double helix and can be recognized as epigenetic marks. In eukaryotes, several protein domains can read 5mC (SRA/SAD/YDG; MBD/TAM; Kaiso) or 6mA (HARE- HTH; RAMA) modifications \(^{6,12}\) , usually in a favored sequence context. We used profile HMM searches to detect candidate methyl readers in Adineta genomes. No homologs were found for the SAD_SRA domain (PF02182), which recognizes hemi- methylated CpGs by embracing DNA and flipping out the methylated cytosine \(^{49}\) . However, we saw drastic expansion of MBD/TAM- containing proteins, which do not require base- flipping: a total of 14 different alleles (originating from three quartets, Q1- Q3, plus a segmental duplication) encode 7 major SETDB1 variants, as opposed to only one in monogonont rotifers or other invertebrates (Fig. 6a,b; Extended Data Fig. 8a; Supplementary Data File S2). These proteins share the same domain architecture, with the MBD sandwiched between the N- terminal triple- Tudor domains and the C- terminal pre- SET/ SET/post- SET domains, present in all SETDB1/eggless- like H3K9me3 histone lysine MTases (KMTs) (Fig. 6a). All seven proteins are transcribed in each Adineta spp. (data not shown). Additional MBD/TAM domains of BAZ2A/TIP5- like remodelers, which form heterochromatin on rDNA and satellites \(^{50}\) , comprise only one A. vaga quartet (Extended Data Fig. 8c; Supplementary Data S3).
+
+To find out whether other KMTs are similarly expanded, we performed an inventory of SET domain- containing proteins in A. vaga, especially those known to methylate H3K9/H3K27 (Supplementary Data File S3). In addition to seven pairs of SETDB1 homologs acting on H3K9, we detected two quartets of E(z)/EZH/mes- 2- like orthologs (KOG1079, Transcriptional repressor Ezh1), which are known to methylate H3K27. More distantly related SET- domain proteins showed domain architectures characteristic of H3K4, H3K36 and H4K20 KMTs (Trx- G/Ash1/ Set1/ MLL, SETD2, SETD8) and comprised either a quartet or a pair. Interestingly, we found six stand- alone SET- domain homology regions resembling H3K4/H3K36 KMTs
+
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+(PRDM9/7/set- 17), which were not predicted in the annotated gene set, were not transcribed, and lacked additional domains (KRAB_A- box, SSXRD) characteristic of PRDM9/7 proteins involved in localizing meiotic recombination hotspots and in male- specific expression \(^{51,52}\) . Unexpectedly, we failed to identify two known KMT types acting on H3K9 or K9/K27: Su(var)3- 9/SUV39H1/set- 25/Clr4, a "histone read- write" architecture consisting of chromo- and SET- domains, which is important for constitutive heterochromatin formation \(^{53}\) ; and G9a/EHMT2/KMT1C (ankyrin repeats plus SET), which initiates de novo methylation and silencing of repeats and developmentally regulated genes \(^{54,55}\) . These domain architectures may have been lost and/or replaced by expanded SETDB1- like variants.
+
+We next sought to determine whether SETDB1 is similarly amplified in all bdelloids. Six species in the genus Rotaria from the family Philodinidae \(^{18}\) possess the same seven variants as do Adinetidae, indicating that SETDB1 amplification occurred prior to divergence of the major bdelloid families (Fig. 6b). An unusual SETDB1 divergence pattern is seen in the bdelloid Didymodactylos carnosus, which forms the deepest- branching sister clade to other known bdelloids \(^{47}\) and lacks N4CMT. While in three cases Dcar_SETDB1 forms sister clades to variants from other bdelloids, preceding quartet formation, the Q1 quartet lacks Dcar_SETDB1 homologs, and an ortholog of Av_s314 shows a clear evidence of loss, detected as a small 170- aa C- terminal fragment (Supplementary Data File 3). This natural gene knockout is associated with an increase in LINE elements to the levels seen in monogononts, and agrees well with high concentration of 4mC observed over LINEs (Extended Data Fig. 7), but is not correlated with high copy number of Ago/Piwi proteins (Fig. 6c) \(^{47}\) .
+
+The presence of SETDB1 orthologs in species lacking 5mC, such as D. melanogaster and C. elegans, questioned the role of MBD as a universal discriminator of 5mC marks in DNA \(^{6}\) . Notably, the structure of human MBD1 shows its unique potential for recognizing 5mC in the major groove without encircling DNA, which makes MBD an ideal candidate for interacting with nucleosome- bound DNA without interference from core histones \(^{56,57}\) . Moreover, three of the seven SETDB1- like variants in bdelloids display two conserved arginine residues in the MBD involved in recognition of cytosines in the DNA backbone, potentially accounting for CpG preference (Extended Data Fig. 8a,b). However, they show extensive variation in the length of the antiparallel \(\beta 1 - \beta 2\) loop, which reaches across the major groove and interacts with one of the methyl groups. Since the overall structure is compatible with recognition of an asymmetrical DNA methyl group in the nucleosomal context, we sought to find out whether some of the seven SETDB1 variants may have adapted to recognizing a novel methyl mark in the major groove.
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+![PLACEHOLDER_23_0]
+
+Fig. 6. Amplification of SETDB1 histone methyltransferases and preference for 4mC-methylated DNA. a, Domain architecture of bdelloid SETDB1 proteins. Square bracket marks cloned MBD domains; aa numbering is for Av_s314. b, Unrooted maximum likelihood phylogram of SETDB1 variants in bdelloids (blue), monogononts (green) and acanthocephalan (olive). Q1-Q3, quartets of homeologs formed by paleotetraploidy. Bottom clades include single copy SETDB1 in 3 protostome phyla. See Supplementary Data File 2 for aa sequences. Scale bar, aa substitutions per site. c, LINE retrotransposon content (% genome) and Piwi/Ago copy numbers in 6 monogonont (green) and 10 bdelloid (blue) species (Table S2). Standard deviation (% LINE) and copy counts are given for sequenced isolates (numbers in parentheses). d, Affinity of AvMBD for 4mC-methylated DNA in electrophoretic mobility shift assays. EMSA was performed using 0.05 nM \(^{32}\)P-labeled sAvL1-451 DNA and 3.75 nM AvMBD_s314 protein. Unmethylated and 4mC-methylated by N4CMT_B sAvL1-451 fragments were used as competitor DNA. e, AvMBD_s314 DNA binding preference for methylated DNA. Y-axis, per cent unbound \(^{32}\)P-labeled sAvL1-451 DNA for 3.75 nM AvMBD_s314 in the presence of unmethylated and 4mC-methylated sAvL1-451 competitor DNA (n=2, mean±SD). Asterisks, p<0.05. f, A simplified model of the self-reinforcing regulatory loop based on the ability of N4CMT and SETDB1 to cross-recognize methyl marks on histones (circle) and DNA (square), respectively. Shown are the relevant conserved
+
+<--- Page Split --->
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+proteins/domains described in the text; shadows, multiple copies. Hypothetical pathways from piRNAs/ Piwi (dashed lines) are not defined. [X] and [?] are putative mediator complexes with poorly conserved components, of which only Nxt1 is identifiable in A. vaga (see Discussion); HP1 and KDM4 are well- conserved. Components involved in other types of histone/DNA modification are not shown for simplicity.
+
+To this end, we synthesized seven recombinant plasmids carrying tagged versions of the corresponding MBD/TAM domains (Extended Data Fig. 9a). We tested these proteins in electrophoretic mobility shift assays (EMSA) with the 451- bp repeat fragment (sAvL1- 451, see above), which was either unmethylated or 4mC- methylated by N4CMT in vitro, to ensure sufficient methylation density and favorable position of methyl marks. As MBD/TAM is a generic DNA- binding domain, most AvMBD's are capable of binding both unmethylated and methylated DNA fragments (Extended Data Fig. 9b,c). We chose AvMBD_s314 to test its binding preferences for 4mC- methylated DNA, since the loss of its ortholog in D. carnosus is associated with a notable increase in LINE retrotransposon content \(^{47}\) . We tested four AvMBD_s314 concentrations (2.38 nM, 3.23 nM, 3.75 nM, 4.14 nM) in EMSA with \(^{32}\) P- labeled sAvL1- 451 and four concentrations of the unlabeled sAvL1- 451 competitor, which was either unmethylated or 4mC- methylated by N4CMT_B in vitro. This approach provides a more adequate comparison than measurement of dissociation constants (Kd) for two labeled probes, as in vitro methylation is variably efficient. We observed a clear preference of s314 for binding 4mC- methylated DNA, with \(p< 0.05\) in a one- tailed Student's t- test in four independent experiments, when using \(>10x\) excess of non- labeled competing methylated or unmethylated DNA ( \(p = 0.044\) for \(40x\) ; \(p = 0.018\) for \(100x\) ). Fig. 6d shows a representative EMSA gel for the 3.75 nM s314 protein concentration, which yielded \(88.3\%\) protein- bound DNA with \(0.05\) nM \(^{32}\) P- labeled sAvL1- 451 fragment. This protein concentration was tested twice, and the average change in the amount of unbound DNA over increasing concentrations of unlabeled competitor DNA is shown in Fig. 6e, demonstrating that upon increase of competitor concentration, the shift from DNA- protein complex to unbound DNA occurs faster for 4mC- modified DNA than for unmethylated DNA. While other SETDB1 version(s) may be similarly adapted to prefer 4mC, they could also form alternative connections with multiple variants of bdelloid Piwi/Ago proteins, which would be interesting to explore in further studies.
+
+## Discussion
+
+Here we report the first case of 4mC occurrence in eukaryotic DNA, expanding the repertoire of methylated bases in Metazoa with a modification known so far only in bacteria. We confirm its presence in bdelloid rotifers by combining multiple lines of investigation, and accounting for artefacts inherent to each modification detection method \(^{36,58,59}\) and for bacterial contaminations.
+
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+In agreement with the absence of Dnmt1/Dnmt3- like MTases, we failed to detect 5mC in bdelloids, while 4mC and 6mA are readily detectable by orthogonal methods. We identified N4CMT, a horizontally transferred enzyme of bacterial origin, as responsible for addition of the characteristically bacterial 4mC marks to DNA. Expression of recombinant N4CMT in E. coli results in 4mC addition, as follows from immuno- dot- blot analysis and methyl- sensitive digests of DNA from N4CMT- expressing bacteria vs. methyl- free strains. Not surprisingly, the chromodomain moiety is not required for 4mC deposition either onto bacterial DNA in vivo, which is not packaged into chromatin, or onto preferred DNA substrates by recombinant N4CMT in vitro. However, in the context of eukaryotic chromatin, ChIP- seq and DIP- seq peak distributions reveal strong correlations between silent H3K9/27me3 chromatin marks and DNA methyl marks. Thus, N4CMT may contribute to epigenetic homeostasis, whereby deposition of repressive chromatin marks is ensured by passive preservation of 4mC marks via covalent linkage to DNA in the absence of active enzymatic demethylation, helping to maintain TE repression in eggs and whole animals. Over- representation of 4mC at the 5' TE boundaries near TE promoter regions may affect transcription factor binding near promoters and cause transcriptional interference, as previously seen for 5mC \(^{60}\) .
+
+While the lack of candidate 4mC erasers supports 4mC role in maintaining TE silencing, other important components of epigenetic systems are the reader proteins, which could interpret the 4mC mark to form a regulatory loop, as is the case for 5mC and 6mA \(^{61}\) . The N4CMT architecture is somewhat reminiscent of plant chromomethylases (CMT), "histone- read- DNA- write" enzymes with a C5- MTase- embedded chromodomain, which reads H3K9me marks and deposits similar marks at nearby non- CG's. Together with another domain configuration, "DNA- read- histone- write" provided by KYP, an H3K9- KMT with the 5mC SRA reader domain, the CMT3- KYP pair forms a mutually reinforcing loop reading each other's epigenetic marks \(^{61}\) . The crosstalk between mCpG and H3K9me in animals and plants is even more complex, requiring multiple protein factors \(^{5}\) . In N4CMT, a very simple "histone- read- DNA- write" architecture, with the chromodomain reading the repressive H3K9/27me3 marks and MTase writing the atypical 4mC marks onto DNA in the absence of an eraser, links histone and DNA layers through a reinforcement loop which feeds back onto silent chromatin via "DNA- read- histone- write" SETDB1- like KMTs to help maintain repressive marks on histone tails throughout cell divisions for continuous TE silencing (Fig. 6f). Association of 4mC with full- length TEs capable of transcription, as well as the overlapping 4mC and sRNA distribution patterns, further suggest that the loop is triggered by pi- like RNAs from transcribed TEs, which can initiate transcriptional silencing on nascent RNAs via Piwi and perhaps SFiNx- like protein complexes \(^{62 - 64}\) , or may
+
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+directly affect methylation, as in mice \(^{65}\) . In this scenario, epigenetic inheritance relies on overriding the normally occurring H3K9me erasure by KDM4/JMJD2 \(^{66}\) , which is present in A. vaga. Our finding that an amplified A. vaga SETDB1- like variant, also present in other bdelloids, shows preference for binding 4mC- methylated DNA in vitro suggests that 4mC deposition stimulates more efficient binding of SETDB1 in the nucleosomal context, linking 4mC deposition by N4CMT to the re- establishment of H3K9 methylation that helps to preserve silent chromatin marks on TEs and other repeats.
+
+Notably, bdelloids exhibit some of the lowest TE content among metazoans, while members of their sister class Monogononta, which lack cytosine methylation and encode a single SETDB1 copy, show reduced ability to contain TE proliferation, which can double their genome size \(^{67}\) . Earlier, we found a drastic expansion of Ago/Piwi and RdRP proteins in bdelloids, which are very TE- poor, in contrast to the acanthocephalan Pomphorhynchus laevis (Rotifera) with \(66\%\) TE content and no expansion of Ago/Piwi \(^{16,47}\) , underscoring the importance of RNA silencing pathways in TE control. Notably, the bdelloid D. carnosus, despite Ago/Piwi expansion, does not show the dearth of retrotransposons typical of other bdelloids, displaying an elevated content of LINE elements matching that of Brachionus and shifting the average bdelloid LINE content upwards \(^{47}\) . Here, we find that D. carnosus lacks both N4CMT and the two SETDB1 variants which may have evolved to interact with the 4mC mark, suggesting that the genome defense system in D. carnosus is missing an important layer that prevents TE expansion. Elevated LINE content in this natural knock- out of the 4mC- preferring KMT variant highlights the importance of cross- talk between two genome defense layers for efficient TE control, as Adineta and Rotaria during their evolutionary history experienced a strong decrease in retrotransposon content (see Fig S3 c,h,i in \(^{47}\) ), which coincided with the emergence of N4CMT and the 4mC- binding SETDB1 variant.
+
+Collectively, our findings help to unravel a fascinating evolutionary puzzle: How can a bacterial enzyme decorating DNA with non- metazoan modifications penetrate eukaryotic gene regulatory networks and become preserved by natural selection for tens of millions of years? Given the importance of similar processes at the dawn of eukaryotic evolution, when MTases were recruited to create the extant epigenetic systems, the bdelloid case spans a unique time interval in the evolutionary history, when its advantages have been fully manifested and validated by natural selection, but its resemblance to bacterial counterparts has not yet been completely erased. Losses of DNA methylation have occurred multiple times throughout the eukaryotic tree of life; however, de novo recruitment of a bacterial mark into an existing epigenetic system has not been observed in more recent metazoan history. A synthetic “DNA
+
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+read- write" 6mA system in cultured human cells, based on \(E\) . coli Dam MTase and bypassing chromatin states through artificial targeting, has been created \(^{68}\) , however such a "shortcut" would be unlikely to persist in living species over evolutionary time scales. Our system helps to discern selectively advantageous features in epigenetic control systems and emphasizes that addition of a DNA epigenetic layer to the histone layer demands enhanced inter- connection of components between layers for efficient operation. Finally, it demonstrates that horizontally transferred genes, contrary to the established view \(^{69,70}\) , can re- shape complex eukaryotic regulatory networks and can drive major evolutionary innovations in eukaryotes.
+
+Additional discussion can be found in Supplementary Discussion.
+
+Online content. Any methods, additional references, Nature Research reporting summaries, source data, statements of data and code availability, and associated accession numbers are available online.
+
+Acknowledgments. We thank Dr. Iain Murray (NEB) for the kind gift of anti- 4mC and anti- 6mA antibodies. This work was supported by R01GM11917 from the U.S. National Institutes of Health to I.A.
+
+Author contributions. FR was responsible for high- throughput genomic and transcriptomic data generation and analysis. IY performed protein expression, purification, and biochemical characterization. DD conducted pilot experiments at early stages of this work. IA conceived and designed the project, analyzed the data, and drafted the manuscript. All authors contributed to writing and editing the final version.
+
+Ethics declarations. The authors declare no competing interests.
+
+<--- Page Split --->
+
+## List of Supplementary Tables and Datasets
+
+Table S1. Comparison of N6A methylation in A. vaga and other eukaryotes.
+
+Table S2. Putative amino- MTase and demethylase orthologs in the phylum Rotifera.
+
+Table S3. Properties of E. coli strains.
+
+Table S4. Genometric correlations between DIP- seq methylation marks and gene and TE annotations in Av- ref and AvL1 assemblies.
+
+Table S5. Genome assembly and gene annotation metrics.
+
+Table S6. SMRT- seq base modification detection.
+
+Table S7. Primers and oligonucleotides.
+
+Table S8. N4CMT recombinant proteins.
+
+Table S9. Summary of N4CMT action on E. coli genomic DNA.
+
+Table S10. Summary of ChIP- seq peaks identified by MACS2 (diagonal values) and overlap of peaks within Av- ref and AvL1 assemblies.
+
+Table S11. Gene ontology analysis of methylated and unmethylated genes (.XLSX file).
+
+All methylated (AvL1 with 6mA SMRT- seq signature at TS and homologous genes in Av- ref)
+
+and unmethylated genes are categorized by molecular function based on GO_slim ontology
+
+annotation. Gene counts and percentages for each category are shown for Av- ref and AvL1
+
+strains. Asterisks represent significant differences in the counts of categories between
+
+methylated and unmethylated genes (Fisher's exact test).
+
+Table S12. Methylation analysis in under- annotated regions.
+
+Genome regions showing significant methylation density for 4mC and/or 6mA base
+
+modifications but no ab initio annotations for gene models or transposons.
+
+Supplementary Data File S1. Amino acid sequences of bdelloid N4CMT and Type II subtype \(\beta\) bacterial methyltransferases, with accession numbers from Genbank or REBASE (.fasta format).
+
+Supplementary Data File S2. Amino acid sequences of SETDB1 proteins from the phylum Rotifera and three representative protostome phyla, with accession numbers from Genbank (.fasta format).
+
+Supplementary Data File S3. MBD- and SET- domain containing proteins in A. vaga Av- ref, with scaffold numbers from Genbank and protein IDs from Genoscope (.fasta format).
+
+Supplementary Data File S4. Contigs with residual bacterial sequence joined to AvL1 DNA (.gff format).
+
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+
+809 Table S1. Comparison of N6A methylation in A. vaga and other eukaryotes.
+
+| Phylum | Species | % 6mA/A | Symmetry | Motifs | Enzymes | Feature | Transcripts | Methods | References |
| Rotifera | Adineta vaga | 0.024 | no | AGG,GAA | METTL4? | genes, TE | active | SMRT,IP | This study |
| Ciliates | Tetrahymena thermophila | 0.4-0.8 | yes (part) ss, ds | AT GATC | TAMT1 | Gene body, linker+1+2 | Activate, weak corr. | SMRT | 71 19 |
| Oxytricha nova | 0.71-1.04 | | AT | MTA1 | linker | mix up/dwn | MS,SMRT | 72 |
| Plants | Chlamydomonas | 0.3-0.5 | | AT | | TS | Activate | IP,RE,exo | 73 |
| Arabidopsis | .006-0.138 | no | AGA,ACC | | Genes, TE | gen↑,TE↓ | MS,SM,IP | 74 |
| Oryza sativa | 0.2 | no | GAGG | Ddm1 AlkB | Low at TS, up at TT | prom silent body active | IP,MS, SMRT | 75 76 |
| Oomycetes | Phytophthora | 0.04-0.05 | | AT | DAMT2a | TS bi,TE | Lowly exp. | IP,MS | 24 |
| Fungi | Early-DF | 0.2-2.8 | yes | AT | PF02384b | genes | active | SM,IP,MS | 77 |
| Dikarya | 0.048-0.21 | no | AV | | | | SMRT | 77 |
| Ctenophora | Mnemiopsis | 0.01-0.025 | n/a | | METTL4 | | | ELISA | 78 |
| Ecdysozoa | Caenorhabditis elegans | 0.01-0.4 | no | AGAA GAGG | DAMT1 AlkB | | | SMRT,MS, IP | 21 |
| Drosophila | 0.001-0.07 | n/a | | Tet/AlkB | TE | silence | MS,IP | 79 |
| Aedes aegypti | 0.00001 | n/a | | METTL4 Tet | | | | 80 |
| Bombyx mori | | no | ACAA | METTL4 | Low TS, TT | silence | IP-seq | 81 |
| Vertebrates | Zebrafish | .002-.1 emb | no | AG | | TE | activate | MS,IP | 82 |
| Xenopus laevis | 0.00009 | no | AG | | Low at TS | | | 83 |
| Sus scrofa | .05-.17 emb | n/a | - | | | | MS | 82 |
Mouse ES Brain ESC | .0006-.007 | no | AAGA AGGA | METTL4 | noncoding | silence | | 84 85 22 |
| Rat | 0.00001 | n/a | | | | | MS,IP | 86 |
Human Glioblastoma 2n/1n cells | .023-.064 0.004 | no H3K9me3 AG,GA | AGG AG,GA | N6AMT1c AlkBH1 | exons, TT Low at X,Y Allele-spec. | activate | | 20 29 87 |
+
+811
+
+812 a Related to N6AMT2; b Related to MT type IC; c Related to N6AMT1.
+
+813 Abbreviations: MS, mass-spectrometry; IP, MeDIP-seq; SMRT, SMRT-seq; TS and TT, transcription start 814 and transcription termination; TE, transposable elements; emb, embryos; Early-DF, early-diverging fungi.
+
+<--- Page Split --->
+
+Table S2. Putative amino-MTase and demethylase orthologs in the phylum Rotifera.
+
+| Species | N4CMT (N6_N4_Mtase)PF01555 SPPY | METTL4 (MT-A70) PF05063 DPPW | N6AMT1 PF05175 NPPY | N6AMT2 (N6aMlase) PF10237 DPPF/Y | MT type IC PF02384 NPPF/Y | AlkBH1 | AlkBH4 | TET | WGS assembly (source) |
| Adineta vaga (Av-ref) | + | + | + | + | - | + | + | - | 16 |
| Adineta vaga (AvL1) | + | + | + | + | - | + | + | - | 33 |
| Adineta ricciae | + | + | + | + | - | + | + | - | 18 |
| Adineta steineri | + | + | + | + | - | + | + | - | 47 |
| Rotaria magnacalcarata | + | + | + | + | - | + | + | - | 18 |
| Rotaria macrura | + | + | + | + | - | + | + | - | 18 |
| Rotaria sordida | + | + | + | + | - | + | + | - | 47 |
| Rotaria socialis | + | + | + | + | - | + | + | - | 47 |
| Rotaria sp. 'Silwood-1' | + | + | + | + | - | + | + | - | 47 |
| Rotaria sp. 'Silwood-2' | + | + | + | + | - | + | + | - | 47 |
| Didymodactylos carnosus | - | + | + | + | - | + | + | - | 47 |
| Brachionus plicatilis | - | - | + | + | - | + | + | - | 88 |
| Brachionus calyciflorus | - | - | + | + | - | + | + | - | 89 |
| Brachionus koreanus | - | - | + | + | - | + | + | - | 90 |
| Brachionus rotundiformis | - | - | + | + | - | + | + | - | 91 |
| Brachionus asplanchnoidis | - | - | + | + | - | + | + | - | 67 |
| Brachionus sp. 'Tiscar' | - | - | + | + | - | + | + | - | 67 |
+
+817
+
+818
+
+819 **Table S3.** Properties of E. coli strains.
+
+820
+
+| Strain name | Genotype | Methylation marks | Strain source |
ER2925 (dam-/dcm-) | ara-14 leuB6 fhuA31 lacY1 tsx78 glnV44 galK2 galT22 mcrA dcm-6 hisG4 R(zgb210::Tn10)TetS endA1 rspL136 (StrR) dam13::Tn9 (CamR) rfbD1 xylA-5 mtl-1 thi-1 mcrB1 hsdR2 | None (except rare EcoKI methylation) | NEB |
ER2738 (methyl-free) | F'proA+B' lacF' Δ(lacZ)M15 zzf::Tn10(TetR)/ fhuA2 glnV Δ(lac-proAB) thi-1 Δ(hsdS-mcrB)5 | None | NEB |
| M28 | F- galK2(Oc) IN(rrnD-rrnE)1 rpsL200(strR) rph-1 | 6mA, 5mC | M. Meselson |
| DH5αTM | F- Φ80/lacZΔM15 Δ(lacZYA-argF) U169 recA1 endA1 hsdR17(rk-, mk+) phoA supE44 thi-1 gyrA96 relA1 λ- | 6mA, 5mC | Invitrogen |
NEB® 5- alpha | fhuA2 Δ(argF-lacZ)U169 phoA glnV44 Φ80Δ (lacZ)M15 gyrA96 recA1 relA1 endA1 thi-1 hsdR17 | 6mA, 5mC | NEB |
| Top10 | F- mcrA Δ(mrr-hsdRMS-mcrBC) Φ80/lacZΔM15 ΔlacX74 recA1 araD139 Δ(ara,leu)7697 gaU galK rpsL (StrR) endA1 nupG | 6mA, 5mC | Invitrogen |
| BL21-AI™ | FompT hsdSB (rB' mB') gal dcm araB::T7RNAP- tetA | 6mA | Invitrogen |
Rosetta™ 2(DE3) | F- ompT hsdSB(rB- mB-) gal dcm (DE3) pRARE2 (CamR) | 6mA | Novagen |
+
+<--- Page Split --->
+
+Table S4. Genometric correlations between DIP-seq methylation marks and gene and TE annotations in Av-ref and AvL1 assemblies 92.
+
+| Genometric Correlation | Assembly | Av-ref | AvL1 |
| IP-seq to TE annotations | Test | IP 4mC-TEs | IP 6mA-TEs | IP 4mC-TEs | IP 6mA-TEs |
| Relative Ks p-valuea | Kolmogorov- Smirnov test | 1.289e-13 | 0.0358 | 0.0083 | 0.0048 |
| Relative ecdf deviation areab | Permutation test | 0.0459 | 0.0070 | 0.0125 | 0.0137 |
| Relative ecdf area correlationb | 0.1842 | 0.0285 | 0.0502 | 0.0540 |
Relative ecdf deviation area p-valueb | <0.01 | 0.01 | <0.01 | <0.01 |
| Jaccard Measure p-valuec | Jaccard test | <0.01 | <0.01 | <0.01 | <0 .01 |
| Jaccard Measure lower tailc | FALSE | FALSE | FALSE | FALSE |
| Projection test p-valued | Projection test | 0 | 0 | 0 | 0 |
| Projection test lower taild | FALSE | FALSE | FALSE | FALSE |
+
+aRelative Ks p-value: relative distance test measures whether two sets of positions are closer together or further apart than expected. P-value close to zero: non-uniform distribution (query locations are non-independent of the references).
+
+bRelative ecdf deviation area p-value: compares the two cumulative distribution functions using the area of the region in which they differ as the test statistic. P-value close to zero: query features are closer than expected to the reference features.
+
+cJaccard Measure lower tail: measures overlaps between two interval sets by measuring the extent of intersection between two interval sets, divided by the length of their union. FALSE:Overlap is more frequent than expected (p-val <0.01).
+
+dProjection test lower tail: query intervals are represented as midpoints, but the reference should be a set of intervals. Features are closer (TRUE) or away (FALSE) to reference.
+
+<--- Page Split --->
+
+Table S5. Genome assembly and gene annotation metrics.
+
+| Species | A. vaga Av-ref a | A. vaga AvL1 |
Accession (assembly name) | GCA_000513175.1('2013') | AvL1 Initial assemblyb | AvL1 hybrid assemblyc |
| Coveragea (mean) | Not calculated | 40.74 (Illumina), 29.82 (PacBio) | 33.88 (Illumina), 33.33 (PacBio) |
| Span (Mb) | 217.9 | 197.1 | 217.1 |
| No. contigs | 36,335 | 19,202 | 9,859 |
| Contig N50 (kb) | 96.7 | 22.1 | 87.4 |
| No. scaffolds | 36,167 | 19,202 | 9,859 |
| Scaffold N50 (kb) | 260.3 | 19.2 | 87.4 |
| Scaffold N90 (kb) | 7.8 | 5.3 | 15.8 |
| Scaffold longest (kb) | 1,087.3 | 167368 | 747.8 |
Gaps (Ns) span (kb) (% genome) | 4,136.3 (1.9%) | None | None |
| % GC | 30.8 | 29.9 | 30.4 |
| BUSCO EUK (n = 429) | C:89%; F:3%; D:8% | C:84%; F:8%; D:8% | C:88%; F:6%; D:6% |
| BUSCO MET (n = 843) | C:84%; F:3%; D:13% | C:79%; F:6%; D:15% | C:81%; F:5%; D:14% |
| Annotation | |
| Method | Augustus | Augustus/GeneMark.ES | Braker/Augustus |
| No. genes | 49,300 | 61,531 | 65,934 |
+
+aA. vaga assembly CGA_00513175.1 16.
+
+bAvL1 initial assembly (no contaminants) GCA_013411005.1 33.
+
+cAvL1 curated hybrid assembly (Illumina + PacBio) from this study.
+
+dAverage read coverage based on trimmed and filtered data.
+
+Abbreviations: GC, guanine-cytosine; BUSCO, Benchmarking Universal Single-Copy Orthologs; EUK,
+
+Eukaryota; MET, Metazoa; C, Complete; F, Fragmented; D, Duplicated.
+
+846
+
+<--- Page Split --->
+
+Table S6. SMRT-seq base modification detection.
+
+| PacBio base modification: total nucleotides | 4mC | 6mA |
| bases | total N's Assembly | 4mC-10xa | 4mC-20xb | 6mA-10xc | 6mA-20xd |
| 32676087 C's + 75836765 A's | 21016 | 10369 | 17886 | 6926 |
| PacBio base modification: total bins with modification | | | | |
| bins° | total bins | 4mC-10x | 4mC-20x | 6mA-10x | 6mA-20x |
| 1kb | 221401 | 15965 | 6536 | 15078 | 5364 |
| 5kb | 49278 | 11611 | 4473 | 11371 | 3918 |
| 10Kb | 28432 | 9001 | 3503 | 8937 | 3131 |
| Bins-TEs' | total bins | 4mC-10x | 4mC-20x | 6mA-10x | 6mA-20x |
| 1kb | 13552 | 679 | 235 | 601 | 204 |
| 5kb | 9973 | 1577 | 505 | 1471 | 420 |
| 10Kb | 9542 | 2326 | 694 | 2262 | 604 |
| Bins-Genes9 | total bins | 4mC-10x | 4mC-20x | 6mA-10x | 6mA-20x |
| 1kb | 181469 | 15118 | 6270 | 14144 | 5036 |
| 5kb | 88412 | 26892 | 10518 | 26346 | 9161 |
| 10Kb | 76640 | 35659 | 14197 | 35209 | 12537 |
+
+848
+
+849 aSMRT-seq 4mC modified bases with minimum 10x PacBio read coverage
+
+850 bSMRT-seq 4mC modified bases with minimum 20x PacBio read coverage
+
+851 cSMRT-seq 6mA modified bases with minimum 10x PacBio read coverage
+
+852 dSMRT-seq 6mA modified bases with minimum 20x PacBio read coverage
+
+853 eGenome binning into different bin sizes (1, 5 and 10 kb)
+
+854 'Bins containing TE annotations
+
+855 gBins containing gene annotations
+
+<--- Page Split --->
+
+Table S7. Primers and oligonucleotides.
+
+| Name | Sequence (5'->3') | Purpose |
| N4CMT-F | tttGGATCCgtcattactaaacaaatatgtcggt | N4CMT ORF amplification |
| N4CMT-R | tttCTCGAGCaccaaatgtacttttgacttcgat | |
| N4CMT-Cbx-R | tttCTCGAGttgtctKMgacgtaatcgataacca | |
| N4CMT_Seq1 | atcgcggttcgacagtcaat | Sequencing |
| IAY21-SP-F | aatttgaacgccagcacagt | Site-directed mutagenesis to |
| IAY21-SP-R | gatctcagtggtggtggtgg | obtain catalytic mutants |
| IAY21-OP-F | ccagccaaataaacttggtcttcgtgaaggt | |
| IAY21-OP-R | tggagctgtaacaacacattgaacgga | |
| IAY22-OP-F | ccagccaaataaacttggccttcgtga | |
| IAY21-Y65A-F | ttgttacagctccaccagc | |
| | Substrates for in vitro assays: |
| MTase_subst-1a | ttgaatagttccgCCGGaattttCagtcaa | 4mC 30-bp from A. vaga AvL1 |
| MTase_subst-1b | ttgactGaaaattcCGGcggaaactattcaa | c1882 |
| Av11_tel_GGGTGTGT | gggtgtgtgggtgtgtggg | A. vaga AvL1 19-bp telomeric- |
| Av11_tel_CCCACACA | cccacacacccacacaccc | like repeat |
| Av_tel_TGTGGG | tgtgggtgtgggtgtggg | A. vaga Av-ref 18-bp telomeric |
| Av_tel_ACACCC | acacccacacccacaccc | repeat |
| Av11_c2350-F1 | agggagacatccttattgaagca | 4mC ~460-bp repeat unit from |
| Av11_c2350-R1 | tcaagtctgttgacctacataagaa | A. vaga AvL1 c1882 |
| Av11_4mC/6mA_F1 | tgtacctcgacgatgttttgtg | 4mC/6mA 580-bp from AvL1 |
| Av11_4mC/6mA_R1 | tctcagacgggctacatgat | c785 (Athena retroelement) |
| Av11_6mA_F1 | tccgccacttccataactgt | 6mA, 405-bp from A. vaga |
| Av11_6mA_R1 | catcatgttgtcaaaggaaactcc | AvL1 c699 (hnRNP-A) |
| A11motif-HindIII-F | tttAAGGTTacctcaatgcacatatagcc | Contains putative N4CMT |
| A11motif-BamHI-R | tttGGATCctttgatatgcttcaataaggatg | recognition motif from A. vaga AvL1 c1882 repeat |
| A11motif-3'209-F1 | tcaCcctaccctcatggatt | 4mC 209-bp part of repeat unit from A. vaga L1 c2350. Used with Av11_c1882-R1 primer. |
| A11motif-5'200-R1 | aatcgatgcttggtttggac | 4mC 200-bp part of repeat unit from A. vaga L1 c1882. Used with Av11_c2350-F1 primer. |
| AvL1c2350-364-R | ggatctatgttgagtgtgtgg | 4mC 371-bp part of repeat unit from A. vaga L1 c1882. Used with Av11_c2350-F1 primer. |
+
+<--- Page Split --->
+
+Table S8. N4CMT recombinant proteins.
+
+| Protein_ID | Protein_variant | Length, aa | MW, kDa | pl |
| N4CMT A' | N6_N4_MTase+Cbx (s23) | 426 | 49.73 | 8.98 |
| N4CMT A | N6_N4_MTase+Cbx (s23) p.L416R | 426 | 49.78 | 9.05 |
| N4CMT B | N6_N4_MTase+Cbx (s179) | 426 | 49.75 | 9.06 |
| N4CMT B' | N6_N4_MTase+Cbx (s179) p.R416L | 426 | 49.71 | 8.99 |
| N4CMT A-△Cbx | N6_N4_MTase (s23) | 287 | 33.20 | 8.60 |
| N4CMT B-△Cbx | N6_N4_MTase (s179) | 287 | 33.13 | 8.60 |
| N4CMT A-APPA | N6_N4_MTase+Cbx (s23) p.S62A;Y65A;L416R | 426 | 49.63 | 8.99 |
| N4CMT B-APPA | N6_N4_MTase+Cbx (s179) p.S62A;Y65A | 426 | 49.65 | 9.07 |
+
+Table S9. Summary of N4CMT action on E. coli genomic DNA in vitro.
+
+| E. coli strain | Acquisition of 4mC mark after N4CMT treatment | E. coli genetic background |
| 6mA | 5mC |
| Rosetta 2(DE3) (n=2) | ++ | Dam+/ EcoK1+ | Dcm- |
| BL21-Al | ++ | Dam+/ EcoK1+ | Dcm- |
| M28 | + | Dam+/ EcoK1+ | Dcm+ |
| ER2925 (n=2) | + | Dam-/ EcoK1+ | Dcm- |
| ER2738 | - | Dam-/ EcoK1- | Dcm- |
+
+Table S10. Summary of ChIP-seq peaks identified by MACS2 (diagonal values) and overlap of peaks within Av-ref and AvL1 assemblies.
+
+| Av-ref | H3K4me3 | H3k9me3 | H3K27me3 |
| H3K4me3 | 5163 | 13 | 27 |
| H3K9me3 | - | 1902 | 1811 |
| H3K27me3 | - | - | 4630 |
| AvL1 | H3K4me3 | H3k9me3 | H3K27me3 |
| H3K4me3 | 5789 | 43 | 48 |
| H3K9me3 | - | 1205 | 681 |
| H3K27me3 | - | - | 2378 |
+
+<--- Page Split --->
+
+**Table S11. Gene ontology analysis of methylated and unmethylated genes (.XLSX file).**
+
+**Table S12. Methylation analysis in under-annotated regions.**
+
+| contig | start | stop | 4mC-10x | 6mA-10x | annotations |
| Contig1073a | 0 | 25272 | 10 | 17 | Chapaev |
| Contig1204e | 66205 | 74905 | 4 | 10 | |
| Contig1251a | 29664 | 39261 | 11 | 10 | Polinton-9 |
| Contig126b | 34974 | 38796 | 2 | 10 | Hebe |
| Contig1397b | 24097 | 31635 | 9 | 10 | Juno/AthJN |
| Contig1606e | 50662 | 52438 | 10 | 5 | |
| Contig1615e | 4175 | 10552 | 9 | 12 | |
| Contig1743e | 0 | 5188 | 10 | 10 | |
| Contig18953e | 26550 | 30514 | 7 | 14 | |
| Contig2220a | 29384 | 35415 | 10 | 6 | Ginger |
| Contig2425b | 43254 | 59525 | 1 | 11 | CACTA1 |
| Contig2467b | 0 | 19427 | 13 | 2 | Helitron |
| Contig286c | 0 | 7155 | 1 | 12 | ITS |
| Contig2879e | 2234 | 4406 | 19 | 17 | |
| Contig2948a | 0 | 8375 | 7 | 10 | Helitron |
| Contig3423e | 1154 | 6396 | 13 | 16 | |
| Contig3571d | 0 | 10942 | 24 | 14 | TR |
| Contig3784e | 0 | 9651 | 8 | 20 | |
| Contig3893b | 4644 | 35659 | 14 | 4 | Athena-P |
| Contig4128c | 0 | 5620 | 24 | 16 | ITS |
| Contig4313a | 8885 | 19081 | 10 | 4 | DNA-N26B |
| Contig4665e | 840 | 5755 | 34 | 10 | |
| Contig480b | 0 | 13847 | 11 | 5 | Athena-I |
| Contig523e | 36990 | 42099 | 12 | 5 | |
| Contig5325b | 8714 | 25663 | 15 | 22 | Athena-M |
| Contig6065b | 3940 | 10974 | 22 | 18 | TelKA1a |
| Contig61067b | 0 | 10836 | 12 | 18 | Vesta1 |
| Contig67e | 0 | 10315 | 11 | 10 | |
| Contig805e | 3363 | 6455 | 3 | 13 | |
| Contig8145e | 15264 | 20597 | 4 | 11 | |
| Contig839e | 38934 | 43045 | 11 | 5 | |
| Contig865e | 0 | 11998 | 11 | 13 | |
| Contig882b | 6424 | 20046 | 11 | 4 | MuDR/Mariner |
| Contig89b | 14890 | 25375 | 7 | 11 | Vesta1 |
| Contig925e | 105036 | 112889 | 13 | 9 | |
| Contig991b | 2840 | 24886 | 10 | 2 | TR/Sola3/Pen |
+
+876
+
+877 aRepbase-TE (5); bAdineta-TE (12); cITS (2); d'tandem repeat (1); eunknown (16).
+
+<--- Page Split --->
+
+## Supplementary Note
+
+Gene transcription and DNA modifications. According to SMRT- seq, repetitive regions such as TEs or TRs attract the highest base modification density (Fig. 2g). Still, nearly one- half of tag counts originate from genic loci: a total of 10,928 4mC and 9,596 6mA methylation marks, representing ca. \(52\%\) and \(54\%\) of total 4mC and 6mA, respectively, lie within gene annotations. To examine the links between gene transcription and DNA methylation at base- level resolution, we compared AvL1 transcriptomic data for genes carrying one or more methylation marks in the SMRT- seq dataset (Extended Data Fig. 5a- c), distinguishing those with 1, 2, 3 or more marks (with 4mC and 6mA separately and combined). We used RPKM values to divide genes into subsets with higher (RPKM \(\geq 1\) ) and lower (RPKM \(< 1\) ) transcription levels, and to examine correlations with the number of methylation marks. In general, numbers of genes with methylated sites (4mC, 6mA or both combined) and higher RPKM \((\geq 1)\) were significantly higher than those with equal methylation levels but lower RPKM \((< 1)\) . Further, although genes with \(>3\) 6mA sites did not show significant differences (p- val \(= 0.71\) , \(\chi^{2}\) test for 40 and 33 genes for high and low RPKM respectively), the combined numbers for 4mC and 6mA were significant (p- val \(= 3.02\mathrm{E - 5}\) ) (Extended Data Fig. 5c). Even though some of the methyl marks may be false positives, the observed difference between two gene categories suggests association between methyl marks and genes with higher transcription levels.
+
+To discern the connections between gene methylation and transcription, we explored the occupancy of 4mC and 6mA near the TS in genes. Regardless of the number of modified bases in gene body or in a 2- kb window upstream of TS, methylated genes are consistently expressed at higher levels than unmethylated genes (Extended Data Fig. 5d). Notably, the 6mA occupancy shows a characteristic profile, i.e. a double peak, upstream of TS sites, while 4mC does not (Extended Data Fig. 5e, right panel). Inspection of these patterns with cluster analysis (deepTools option - - kmeans with -- outFileSortedRegions) shows that they mainly originate from a total of 1212 gene models carrying the double 6mA mark (ca. 260 bp and 750 bp upstream of TS) and no significant accumulation of 4mC sites (Extended Data Fig. 5f). The increased 6mA deposition was corroborated by DIP- seq data, with a significant peak observed upstream of TS for these 1212 genes (Extended Data Fig. 5g); a smaller 4mC DIP- seq peak was also visible further upstream. Comparison of expression levels for these 1212 genes shows that their transcription levels are higher than average (Extended Data Fig. 5h). We then checked their homologs in Av- ref for similarity of methylation and expression profiles. After a blastp search with 1212 AvL1 genes as queries, we obtained 909 A. vaga homolog gene models, which not
+
+<--- Page Split --->
+
+only showed a similar DIP- seq peak profile (Extended Data Fig. 5,i), but also had expression levels significantly higher than average (Extended Data Fig. 5j). Overall, SMRT- seq modification data agree well with DIP- seq profiles of homologous gene sets in two strains. These observations rule out the possibility of residual RNA- derived 6mA signal and support the view that genic 6mA modifications, particularly those near the TS, are positively correlated with high expression levels of the corresponding genes.
+
+We also performed gene ontology (GO) analysis to find out whether specific gene categories are subject to modification. In AvL1, \(66\%\) of genes with 6mA SMRT- seq signature at TS had annotated functions, which is comparable with \(63\%\) for all gene models (41,340 genes with GO annotations out of 65,934) (Table S11). Several GO categories displayed significant differences between methylated and unmethylated genes (Fisher's exact test), and the shared groups between Av- ref and AvL1 6mA- methylated genes were rather broad (metabolism, development, catalytic activity, biogenesis). These findings are consistent with designation of 6mA as a developmentally dynamic mark \(^{79,83,93}\) .
+
+Haplotype- specific 6mA patterns were suggested to affect allele- specific transcription \(^{87}\) . Since the AvL1 genome displays the same degenerate tetraploid structure as Av- ref, with \(40\%\) of the genome organized in quartets \(^{16,33}\) , we searched for allele- specific DNA methylation patterns affecting homologs and/or homologs (homeologs). We defined collinear block regions in AvL1 (see Methods) and searched for inter- block differences in base modifications (SMRT- seq) and in transcription levels (log2RPKM). Initial inspection suggested that any inter- block transcription differences (Extended Data Fig. 6b) originated from blocks with broken collinearity (i.e., when blocks could not be aligned without rearrangements). Upon comparing the number of base modifications between homologous blocks, only a few cases showed disparity in modified bases (Extended Data Fig. 6c). Out of 28705 pairs in AvL1, with 25619 defined as collinear and 3086 with broken collinearity, 615 and 59 showed difference in SMRT- seq methylation of two or more marks (square root of base modification difference) for collinear and broken pairs, respectively. To establish if collinearity (collinear or broken) and difference in methylation between blocks are independent, \(\chi 2\) test was performed using the categories of pairs without base modification difference (value 0 for 16000 collinear pairs vs. 1743 broken pairs) and pairs with any difference (value \(\geq 1\) in 17611 collinear pairs vs. 1343 broken pairs). The test showed that proportions between both categories are not fully independent, with some association between collinearity and methylation level difference between pairs ( \(\chi 2\) test, p- val = 3.57E- 21).
+
+Finally, we analyzed the remaining AvL1 genomic regions lacking ab initio annotations but still displaying significant methylation density. Genomic regions without gene models or
+
+<--- Page Split --->
+
+annotated TEs/TRs were extracted, and each region was examined for the presence of 4mC and/or 6mA indicated by SMRT analysis. Contigs with methyl marks were further inspected for coverage with Illumina, PacBio, and RNA- seq reads, and showed a lack of transcriptomic coverage, indicative of transcriptionally silent regions (Extended Data Fig. 3f; Table S12). Regions covered by methyl marks were extracted and used in BLAST searches to detect homology to known genes or TEs. From a final set of 36 AvL1 loci with significant numbers of 4mC and/or 6mA sites (>10 tags), the analysis revealed one under- annotated tandem repeat, two ITS regions and 17 regions showing homology to TEs (12 from combined Adineta TE libraries and 5 from Repbase), indicating that one- half of the extensively methylated, transcriptionally silenced regions represents under- annotated TEs (Table S12).
+
+<--- Page Split --->
+
+## Supplementary Discussion
+
+Base modification, primarily in the form of methylation, constitutes an important facet of epigenetics due to the covalent nature of its linkage to DNA. In eukaryotes, the archetypal 5mC modification dominates the epigenetic landscape, and its distribution patterns are established by concerted action of writers, readers and erasers of epigenetic marks. The maintenance and de novo MTases Dnmt1 and Dnmt3 act together with demethylases to set the levels of CpG methylation \(^{5,94}\) , and may have been doing so since the divergence of plants and animals \(^{95}\) (but see \(^{96}\) ). In bacteria, the most widespread DNA modifications added by amino- MTases of R- M systems modify the exocyclic amino groups of adenines and cytosines, with 5mC constituting a distant third \(^{30}\) because of high incidence of 5mC \(\rightarrow\) T transitions prone to deamination. The 6mA modification is widespread in eukaryotes, although its role is still debated, especially when its levels are particularly low \(^{9,11,36,58}\) . Our assessment of A. vaga methylome broadly agrees with the view of 6mA as a dynamic context- dependent mark, associated with higher expression in a subset of genes but also found over repressed TEs.
+
+The overall level of 4mC, as revealed by SMRT- seq, amounted to \(0.065\%\) of cytosines, while the somewhat lower 6mA content ( \(0.024\%\) of adenines) is still higher than 6mA levels in X. laevis or mouse, and is comparable to values reported for C. elegans, Drosophila, plants, and humans (Table S1). Lower 6mA levels are not surprising, as this dynamic mark can be modulated in a tissue- and stage- specific fashion by balancing activities of N6A- MTases and AlkB- like demethylases, which are present in belloids. Indeed, a higher fraction of 4mC may be due to lack of enzymes responsible for active cytosine demethylation, such as TET or potential homologs of bacterial R- M enzymes recognizing 4mC. Notably, both 4mC and 6mA sites show an asymmetric pattern, in contrast to symmetrical MTases, such as Dnmt1 in mammals or N6A- MTases of ciliates and early- diverging fungi, which act on hemi- methylated DNA \(^{4,72,77}\) . The lack of maintenance MTases acting on symmetric motifs implies that methyl marks should be added de novo after DNA replication to be maintained at specific sites.
+
+Interestingly, the preferred symmetrical dinucleotide for 4mC addition (CpG) coincides with that of canonical C5- MTases, although the asymmetric CpA is also frequently utilized. This agrees with higher similarity of N4CMT to bacterial MTases with a CG doublet in their recognition motif, suggesting that recognition by TRD may contribute to target choices. For 6mA addition, the asymmetric ApG or GpA are the preferred sites, as in other metazoans with similar 6mA content (Table S1). Symmetrical 6mA addition to ApT dinucleotides occurs in green algae,
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+ciliates, and early- diverging fungi, where it is associated with actively transcribed genes and with linker DNA between nucleosomes \(^{71 - 73,77}\) . The sequence context of methylation sites may further contribute to recognition of methyl marks by various readers, often resulting in opposite transcriptional effects, as shown for 5mC or 6mA \(^{22}\) .
+
+It is hardly a coincidence that N4CMT is most closely related to MTases of cyanophages rather than bacteria. Indeed, phage- borne orphan MTases, in addition to being prone to horizontal spread, may be under evolutionary pressure to broaden their sequence specificity to protect the phage from multiple bacterial R- M systems \(^{97}\) . An MTase with strict target specificity is unlikely to cover a broad range of epigenetic targets, limiting its regulatory potential, and would benefit from reduced sequence specificity while acquiring chromatin- based targeting. The intrinsic N4CMT target preference adds an intriguing twist to this view. While this preference is seen in our in vitro assays and is manifested in vivo as high- density SMRT modification regions, these regions do not show an increased density of H3K9/27me3 histone marks over modified TRs (Extended Data Fig. 3a). In C. elegans, a SETDB1 homolog met- 2 adds H3K9me2 marks to suppress transcription of satellite repeats, which in met- 2 null worms yield DNA- RNA hybrids and trigger DNA damage- induced germline lethality \(^{98}\) . Although investigations of DNA damage are outside the scope of the present work, future studies may uncover additional pathways involving chromodomain- independent N4CMT activity targeting 4mC to silence satellite repeats. Indeed, the 460- bp repeat in AvL1 is fully silenced, since our qRT- PCR experiments failed to yield PCR products (data not shown). It also remains to be seen whether H3K9me and H3K27me exhibit spatial and functional overlap in bellodis, as in ciliates \(^{44,45}\) , or are separated in space/time, with such studies being impeded by syncytial organization. Although in Drosophila and mammals H3K9 denotes constitutive and H3K27 - facultative heterochromatin, and the relevant enzymatic machinery is represented by SUV39H, G9a and SETDB1 homologs for H3K9 and the EZH- containing Polycomb repressive complex 2 for H3K27, the lack of SUV39H- like and G9a- like proteins in bellodis may indicate their replacement with diversified SETDB1 paralogs for H3K9 methylation, and supports a facultative, bivalent nature of their heterochromatin, as indicated by triple Tudor domains in SETDB1 which recognize a combination of active and repressive histone marks to ensure silencing \(^{99}\) .
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+Extended Data Fig. 1. Base and dinucleotide composition features in A. vaga. a, Distribution of the observed/expected ratio of CpG dinucleotide frequency in Av-ref and AvL1 assemblies in a 1-kb sliding window (left panel) and in CDS regions (right panel). Its mean value, 1.103 and 1.032 for Av-ref and AvL1, respectively, indicates the lack of pronounced 5mC deamination signatures in gDNA. CDS ratio was calculated per gene, with 1.096 and 0.990 as mean CpG obs/exp values for Av-ref and AvL1, respectively. b, Nucleotide and dinucleotide composition frequencies across AvL1 TE annotations and 5' upstream regions.
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+Extended Data Fig. 2. DIP-seq peak distribution near genes and transposons in AvL1. a- b, Distribution of 4mC and 6mA DIP-seq peaks calculated by MACS (see Methods) around gene (a) and TE (b) annotations in AvL1, with coverage of peak deposition located within and in the proximity of annotated features. Peak coverage is represented in 25- bp bins within 2.5 kb upstream and downstream. The body size feature, representing genes or TEs, is automated and normalized as meta- profile (0- 100% of body length). c- d, Profiles (top) and heat maps (bottom) in AvL1 showing relative fold enrichment of DIP- seq reads for 4mC and 6mA. (c), gene regions with TS (transcription start) and TT (transcription termination) sites and their vicinity (±3 kb). (d), TE annotations within 5' (5) and 3' (3) sites and near insertion points (±3 kb). The right- hand side in C and D represents profiles and heatmaps of DIP- seq reads over features divided into four clusters (deepTools- - kmer 4; Methods).
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+Extended Data Fig. 3. DNA and histone modifications on selected contigs. Circos plots of Av- ref (Av) and AvL1 (As) profiles show 7 layers with annotations, sequencing coverage, methylation sites, and DIP/ChIP peaks. Inside 1043 outside: TEs, grey bars; genes, orange bars; green line, RNA coverage for Av- ref and AvL1 transcriptomes; purple 1044 line, small RNA coverage in Av- ref. Blue histogram, \(\% \mathrm{G} + \mathrm{C}\) (light- blue, low GC; dark- blue, high GC). In DNA 1045 sequencing coverage plots, red and blue represent coverage by Illumina and PacBio reads, respectively (Methods). 1046 In AvL1 PacBio layer, DNA methylation sites for 4mC (blue triangle) and 6mA (red square), with height in the ring 1047 showing methylation fraction (from 0 to 1). Histone methylation peaks for H3K4, H3K9 and H3K27: orange, green and 1048 black bars, respectively. Blue and red bars, DIP- seq 4mC and 6mA peaks. Contig/scaffold ideograms are plotted as 1049 black bars, with labels for Av- ref (Av) and AvL1 (As) showing the numbers from source assemblies GCA_000513175 1050 and AvL1, respectively. Label ticks are distanced at 5 kb. Coverage layers were calculated with 1- kb sliding window.
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+![PLACEHOLDER_45_1]
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+
+Extended Data Fig. 4. N4CMT expression, purification and activity on different substrates. a, Diagram of recombinant N4CMTs used in this study. Amino acids differing between two variants amplified from scaffold_23 and scaffold_179 are shown. S, S tag; H, His tag. Vertical red arrows indicate C-terminal Leu or Arg substitutions yielding additional recombinant protein variants. Non-conservative aa substitutions are in red. b, SDS-PAGE of purified N4CMTs. Arrows indicate positions of recombinant N4CMT proteins and the electrophoresis migration front dye bromophenol blue (BPB). c, Western blotting of the gel in (b) with anti-His tag antibody showing the presence of recombinant proteins with the expected molecular mass. d-e, Immuno-dot blots with anti-4mC antibody for different substrates treated with recombinant N4CMT allozymes in vitro. f, Alignment of conserved motifs in tandem repeat units from A. vaga (Av, AvL1) and A. ricciae (Ar) used to build a consensus in Fig. 3e, visualized in Jalview 2.11.1.3. Not more than seven repeat units from each contig are shown.
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+Extended Data Fig. 5. Correlation between gene transcription and SMRT modification marks. Numbers of methylated genes with 1, 2, 3 or more (>3) marks for 4mC (a), 6mA (b) and both combined (c) are plotted with their RNA- seq transcription profiles (high for RPKM \(\geq 1\) , low for RPKM \(< 1\) ). Asterisks show statistically significant differences in the numbers of methylated genes between high and low RPKM levels ( \(\chi^2\) test, \(^{**}p< 10 - 4\) , \(^{**}p< 0.05\) ). (d) Boxplot comparing expression (log2RPKM) of genes with no methylation; methylation in the gene body; around TS (2 kb upstream); and both methylated regions combined (TS plus body). Box represents the first and third quartiles; line, the median. RPKM, reads per kb per million mapped reads. e, f, 4mC and 6mA SMRT- seq methylation in the final gene set (n=65,934) (e) and clusterized for 6mA signal in the TS region (n=1212) (f). g, Distribution of 4mC and 6mA DIP- seq peaks around AvL1 genes with 6mA modification (n=1212) showing coverage of peak deposition within and near genes. In h, j, genes marked with 6mA around TS exhibit higher expression than genes without it. i, j, Distribution of 4mC and 6mA DIP- seq peaks (i) and RPKM (j) in Av- ref genes homologous to AvL1 genes in (e- h). In (g, i), peak coverage is shown in 25- bp bins within \(\pm 2\) kb. The body size feature, representing genes, is automated and normalized as a meta- profile (0- 100% of body length). In (h, j), boxplot compares the median and interquartile range of RPKM expression levels. The p- values were calculated by a two- tailed Student's t- test.
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+Extended Data Fig. 6. Comparisons of AvL1 gene transcription in ChIP- seq peaks and in collinear blocks. a, Box plot showing AvL1 gene expression levels (log2RPKM) associated with co- localized H3K4me3, H3K9me3, H3K27me3, and H3K9- 27me3 marks or without histone marks. ANOVA analysis shows significant differences in expression (one way ANOVA, \(Df = 4\) , \(F = 1331\) ), with genes associated with the H3K4me3 mark displaying the highest RPKM (reads per kilobase per million mapped reads). b, Transcription in collinear blocks. Points represent collinear blocks of genes, plotted based on the transcription values (log2RPKM) on block1 (X- axis) and transcription on block2. Syntenic blocks are differentiated between two groups: collinear (homologous genes with low Ks values) and blocks in which collinearity has been broken (homologous genes with high Ks values). c, Base modification versus transcription differences. X- axis represents the difference between blocks in the number of detected SMRT base modifications (square root), and Y- axis represents the absolute difference in log2RPKM between them.
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+Extended Data Fig. 7. Distribution of 4mC and 6mA peak counts between different transposon types. Shown are the mean peak counts from DIP-seq data for 4mC (a) and 6mA (b) near each type of annotated TEs, classified as Helitron, LTR, non-LTR (LINE), Athena, Penelope or TIR, extending the 5' and 3' transposon ends by 500 bp window size. ANOVA analysis shows differences in distribution of 4mC (one way ANOVA, \(\mathrm{Df} = 5\) , \(\mathrm{F} = 39.871\) , p-val < 2.2 E-16) and 6mA peaks (one way ANOVA, \(\mathrm{Df} = 5\) , \(\mathrm{F} = 27.753\) , p-val < 2.2 E-16) near specific TE families.
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+Extended Data Fig. 9. MBD proteins from the A. vaga genome. a, Diagram of recombinant MBDs used in this study. S, S tag; His, His tag; MW, Molecular weight of protein in kDa. α1, β1, β2, β3, secondary structure elements outlined in Extended Data Fig. 8a. b-c, Binding of AvMBD to unmethylated (b) and 4mC-methylated by N4CMT_A (c) DNA. For electrophoretic mobility shift assays, 2 ng of \(^{32}\mathrm{P}\) - sAvL1-451 were used with 50-100 ng of purified AvMBD proteins.
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+## METHODS
+
+Rotifer cultures. A clonal culture of Adineta vaga, started in 1995 from a single individual, was maintained continuously in filtered spring water and fed with E. coli M28. Rotifers were grown in \(150\times 20 \mathrm{mm}\) untreated Petri dishes and transferred into new ones, until the desired biomass was reached. The A. vaga L1 natural isolate \(^{33}\) was collected in 2012, and the clonal culture was maintained in the laboratory under the same conditions.
+
+Plasmid construction. N4CMT ORFs from scaffold_23 (GSADVT00006927001, allele N4CMT_A) and scaffold_179 (GSADVT00035445001, allele N4CMT_B) (http://www.genoscope.cns.fr/adineta/cgi- bin/gbrowse/adineta/) were amplified from cDNA to eliminate introns. The first exon in the annotation is ambiguous and variable in different bdelloids, thus it was omitted from primer design, so that the N- terminus coincides with that used by bacterial MTases. Briefly, RNA was extracted from adult rotifers starved for 24 hours, using Direct- zol™ RNA Miniprep kit (Zymo Research), and cDNA was synthesized from 2 \(\mu \mathrm{g}\) of RNA with SuperScript® IV Reverse Transcriptase (Invitrogen) and random hexamers, following the manufacturers' protocols. N4CMT was then amplified by PCR from \(5\%\) of cDNA reaction with Q5® Hot Start High- Fidelity DNA Polymerase (NEB). All primers used in this study are listed in Table S7. PCR fragments were cloned into pET29b(+) vector (Novagen) using BamHI and XhoI sites and propagated in E.coli NEB5- alpha (NEB). Catalytically inactive mutants were obtained using Gen- Edit™ site- directed DNA mutagenesis kit (First Biotech). To obtain substrate plasmids pUC19- m97 and pUC19- m119, the insert sequence was amplified from AvL1 genomic DNA with primers A11motif- Hind3- F and A11motif- BamH1- R (Table S7) and OneTaq® Hot Start DNA Polymerase (NEB). Amplicons were treated with HindIII (Anza™ 16) and BamHI (Anza™ 5) in 1x Anza™ Red Buffer (Thermo Fisher Scientific) and purified through 1.5% agarose gel using Zymoclean Gel DNA Recovery kit (Zymo Research). The pUC19 vector was prepared in the same way, ligated with insert using Instant Sticky- end Ligase Master Mix (NEB) and transformed into NEB5α competent cells (NEB). Plasmid purifications were done with Zyppy Plasmid Miniprep (Zymo Research). Inserts were verified by Sanger sequencing on the ABI3730XL at the W. M. Keck Ecological and Evolutionary Genetics Facility at the Marine Biological Laboratory. Expression plasmids carrying AvMBD sequences in pET29b(+) vector were synthesized by GenScript. All DNA sequences were optimized with GenSmart™ service to produce soluble recombinant proteins in E. coli.
+
+Protein expression and purification. Recombinant proteins were expressed in E. coli Rosetta 2(DE3) (Novagen) in LB medium, Miller formulation (Amresco) supplied with \(50 \mu \mathrm{g} / \mathrm{ml}\) kanamycin (Fisher Scientific), 34 \(\mu \mathrm{g} / \mathrm{ml}\) chloramphenicol (Acros Organic). First, cells were grown at \(37^{\circ} \mathrm{C}\) , 200 rpm until OD=0.4. After that, cultures were heat- shocked as follows: 10 min at \(42^{\circ} \mathrm{C}\) , 20 min at \(37^{\circ} \mathrm{C}\) , 30 min on ice, and 20 min at \(37^{\circ} \mathrm{C}\) . After final OD check, expression of recombinant proteins was induced by supplying the growth medium with IPTG (Gold Bio) to \(500 \mu \mathrm{M}\) , and the culture was grown for additional 4 h at \(32^{\circ} \mathrm{C}\) , 350 rpm for N4CMT versions or for additional 3 hours at \(34^{\circ} \mathrm{C}\) , 300 rpm for AvMBDs. Bacterial cells were pelleted by centrifugation at \(4^{\circ} \mathrm{C}\) , 4000 g for 30 min and stored at \(- 80^{\circ} \mathrm{C}\) . Induction of recombinant proteins was confirmed by SDS- PAGE followed by Western blot hybridization as described in \(^{100}\) . For protein purification, cellular lysates were prepared using xTractor™ Buffer (Clontech), supplemented with lysozyme (Sigma), DNase I (Promega) or Benzoxane® Nuclease (Sigma), and Roche Complete™ EDTA- free Protease Inhibitor Cocktail (Sigma), according to the manufacturers' instructions. Soluble proteins were separated from insoluble debris by centrifugation at \(4^{\circ} \mathrm{C}\) , 4000 g for 30 min. Recombinant N4CMT were purified using TALON® Single Step Columns (Clontech), following the manufacturer's protocol. Proteins were concentrated using Pierce™ 9K MWCO Protein Concentrators (Thermo Scientific), and the buffer was exchanged to \(50 \mathrm{mM}\) phosphate buffer, \(300 \mathrm{mM}\) NaCl, pH 7.0 supplemented with Roche complete™ EDTA- free Protease Inhibitor Cocktail (Sigma). Protein concentrations were equalized based on concentration of the full- length His- tagged protein as detected by Western blotting with His- tag- specific antibodies (Aviva Systems Biology) using Image Studio™ Lite 5.2.5 Software (LI- COR). Purified proteins were stored at \(4^{\circ} \mathrm{C}\) for up to 2 weeks. Recombinant AvMBD's were purified on AKTA Pure M2 with HiTrap TALON 1 ml columns (Cytiva), concentrated with Pierce™ 3K MWCO Protein Concentrators PES (Thermo Scientific), supplied with EDTA, glycerol and protease inhibitors to the final buffer composition of \(40 \mathrm{mM}\) sodium phosphate, pH 7.4; \(240 \mathrm{mM}\) NaCl; \(102 \mathrm{mM}\) imidazole; \(20\%\) glycerol; \(4 \mathrm{mM}\) EDTA; \(1 \mathrm{x}\) complete protease inhibitor cocktail; \(1 \mathrm{x}\) Halt protease inhibitor cocktail; pH 7.4. Proteins were stored in single- use aliquots at \(- 80^{\circ} \mathrm{C}\) . Proteins were quantified using Micro BCA™ Protein Assay Kit (Thermo Scientific), and their purities verified by SDS- PAGE in \(15\%\) resolving gel followed by staining with
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+InstantBlue Protein Stain (Expedeon) and Western blotting with S- tag (Novagen) and His- tag (Aviva Systems Biology) specific antibodies, both at 1:5000 dilutions, as described in \(^{100}\) .
+
+DNA substrate preparation for methylation assays. The A. vaga cultures were maintained as above but fed with dam- /dcm- E.coli (C2925, NEB) strain instead of M28 for a month. Genomic DNA was extracted from adult rotifers starved for 48 hours, following the standard phenol- chloroform extraction protocol \(^{101}\) . To obtain control DNA from different E. coli strains (Table S3), bacteria were grown overnight in LB medium Miller formulation (Amresco) at \(37^{\circ}C\) and 200 rpm, and total DNA was extracted using UltraClean® Microbial DNA Isolation Kit (MoBio Labs).
+
+For N4CMT in vivo activity assays, plasmids carrying N4CMT sequences were introduced into Rosetta 2(DE3) strain. Bacteria were grown as above, pelleted and stored at \(- 80^{\circ}C\) until expression of recombinant proteins was confirmed by Western hybridization with His- tag- specific antibodies. After that, bacterial pellets were incubated in lysis buffer (10 mM Tris, pH 8.0, 100 mM NaCl, 5 mM EDTA, 120 \(\mu \mathrm{g} / \mathrm{ml}\) Proteinase K (ThermoFischer), \(0.6\%\) SDS) at \(53^{\circ}C\) overnight. Total DNA was purified following the standard phenol- chloroform extraction protocol \(^{101}\) , including treatment with RNaseONE (Promega). DNA quantity and quality were inspected by agarose gel electrophoresis and NanoDrop 2.0 measurements. Cleavage of genomic DNA by McrBC (NEB) was performed overnight at \(37^{\circ}C\) as recommended by the manufacturer, followed by DNA separation in \(0.8\%\) TAE- agarose gel electrophoresis. Plasmids (pUC19, pBlueScript SK+ etc.) for methyltransferase assays were transformed into methylation- free C2925 competent cells (NEB) and purified using Zyppy Plasmid Miniprep (Zymo Research). To obtain a 4mC- positive control for immunoassays, pUC19 was methylated with M.BamHI methyltransferase (NEB). To obtain a positive control for 6mA, pUC19 was purified from NEB5α (dam+) E. coli strain. Oligonucleotides were ordered from Eurofins Genomics and annealed in 1x annealing buffer (10 mM Tris, pH 7.5, 50 mM NaCl, 1 mM EDTA) as follows: the mix was incubated at \(95^{\circ}C\) for 3 min and allowed to cool down to RT for 1 h. Other dsDNA substrates were obtained by PCR and purified using Monarch PCR clean- up kit (NEB) or Zymoclean Gel DNA Recovery kit (Zymo Research).
+
+In vitro methyltransferase activity assays. Reactions were carried in 1x M.BamHI Methyltransferase Reaction Buffer (NEB) supplemented with 80 \(\mu \mathrm{M}\) S- adenosyl- L- methionine (SAM) provided with the buffer. Optimal results were obtained with \(500 \mu \mathrm{g} / \mathrm{ml}\) as a final concentration of N4CMT recombinant proteins. Reactions were initially incubated at \(25^{\circ}C\) for 4 h, and incubation was continued for another 16 h after supplementing with additional 80 \(\mu \mathrm{M}\) SAM.
+
+DNA dot blot immunoassays. Samples were spotted on BioTrace™ NT Nitrocellulose Transfer Membrane (Pall Corporation), air- dried and UV- cross- linked with \(120,000 \mu \mathrm{J} / \mathrm{cm}^2\) exposure using SpectroLinker™ XL- 1500 UV crosslinker (Spectronics Corporation). The cross- linked membrane was blocked in \(3\%\) non- fat milk in TBST (containing \(0.05\%\) v/v Tween) and incubated with 1:40,000 anti- N4- methyl- C antibody or with 1:60,000 anti- N6- methyl- A antibody at \(25^{\circ}C\) for 1 h. Rabbit primary antibodies raised against 4mC- or 6mA- modified DNA \(^{102}\) were a kind gift from Dr. Iain Murray (NEB), and were checked for the absence of cross- reactivity, as well as for lack of reactivity with 5mC on human DNA. The membrane was washed three times with TBST, incubated with 1:10,000 goat anti- rabbit HRP antibody (Sigma) at room temperature for 1 h, washed three times with 1x TBST, and developed using SuperSignal™ West Dura Extended Duration Substrate (Thermo Fisher Scientific). Chemiluminescence was detected using the Amersham Imager 600 chemiluminescence imager (GE Healthcare).
+
+Electrophoretic mobility shift assays. sAvL1- 451 DNA were 5'- end- labeled with [y- 32P]dATP (PerkinElmer) using T4 polynucleotide kinase (NEB) and purified from excess of radioactive nucleotides using Oligo Clean & Concentrator kit (Zymo Research) following the manufacturers' protocols. Binding reactions were set up in 10 \(\mu \mathrm{l}\) total volume in a buffer with final concentrations 100 mM KCl, 10 mM Tris, pH 7.4, 0.1 mM EDTA, 0.1 mM DTT, supplied with 500 ng LightShift™ Poly (dl- dC) (Thermo Scientific). Addition of 2.5 \(\mu \mathrm{l}\) of AvMBD proteins provided \(5\%\) glycerol per reaction. Proteins were first pre- incubated with non- radioactive DNA for 15 min at RT. Then, \(^{32}\mathrm{P}\) - labeled DNA was added to a final concentration of 0.05 nM, and reactions were incubated for additional 30 min at RT. After supplying with 6X EMSA gel- loading solution (Thermo Scientific), samples were loaded onto \(6\%\) DNA Retardation gels. Samples were run at 90 V in 0.5x TBE buffer (44.5 mM Tris- HCl, pH 8.3, 44.5 mM boric acid and 1 mM EDTA) at \(4^{\circ}C\) for
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+90 min. Gels were dried using Model 583 Gel Dryer (BioRad), exposed with phosphorimaging plate (Fujifilm), scanned on Typhoon FLA 7000, and analyzed using Image Quant TL v8.1 software.
+
+DNA extraction for DIP- seq. For genomic DNA extraction, animals were starved for 48 h and treated with ampicillin and tetracycline antibiotics (final concentration of \(10\mathrm{mg / ml}\) and \(0.5\mathrm{mg / ml}\) , respectively) for 24 hours, then harvested as described in \(^{16}\) . Total DNA was extracted with DNeasy Tissue kit (Qiagen), final eluates were checked by agarose gel electrophoresis and final concentrations were measured by Nanodrop. The isolated genomic DNA was diluted to \(\sim 250\mathrm{ng / \mu l}\) using TE buffer and sonicated on the 130 \(\mu \mathrm{l}\) scale (Covaris microtubes) to 200- 400 bp using Covaris S220 focused ultrasonicator (10% duty cycle, 175W peak, 200 cycles, 180 sec, \(6^{\circ}\mathrm{C}\) ). After measuring concentration and size distribution with Bioanalyzer High Sensitivity DNA chip (Agilent), 100 ng of fragmented DNA was used for library construction with NuGen Ovation Ultra Low System v2.
+
+DIP- seq (MeDIP- seq). After adaptor ligation and purification steps (NuGen Ovation Ultra Low System v2 protocol), DNA fragments were combined with \(0.5\mu \mathrm{g}\) of anti- 4mC or anti- 6mA antibodies (see above) in \(500\mu \mathrm{l}\) of \(1\times \mathrm{IP}\) buffer and incubated at \(4^{\circ}\mathrm{C}\) for \(6\mathrm{h}\) . In parallel, \(40\mu \mathrm{l}\) of Protein A magnetic beads were prepared as in \(^{73}\) . Protein A beads were added to DNA- antibody mixture and incubated at \(4^{\circ}\mathrm{C}\) overnight with rotation. Beads were washed four times with \(1\times \mathrm{IP}\) buffer on a magnetic rack. \(20\mu \mathrm{l}\) of proteinase K (20 mg/ml) were used to release the methylated DNA with \(3\mathrm{h}\) of incubation at \(50^{\circ}\mathrm{C}\) . The final eluate was purified using \(2\times\) phenol- chloroform- isoamyl alcohol (25:24:1) extraction and ethanol precipitation. DNA was resuspended in \(35\mu \mathrm{l} \mathrm{H}_{2}\mathrm{O}\) , followed by library amplification and bead purification (NuGen RNAClean XP magnetic beads). Quality control and concentration measurement were performed using Bioanalyzer DNA 1000 chip (Agilent) and Qubit sDNA HS Assay kit (Thermo). Libraries were sequenced using the Illumina HiSeq 2500 platform (50- bp SR) at the Brown University Sequencing Core Facility. Base calling was performed with the standard Illumina pipeline (Casava 1.8.2). Illumina adaptors were trimmed with cutadapt \(^{103}\) , as well as any sequence with low quality score (
+
+reads were aligned to AvL1 curated genome assembly using blasr 109. The polymerase kinetics information was processed and reported as IPD ratio, with its fraction (the methylated portion of reads mapped) at each site. The 4mC and 6mA base modifications were identified, and the final report was extracted as csv and gff files for posterior processing. Filtering was performed by selecting only 4mC and 6mA marks with 20x coverage and mQv≥22 (Table S6); any sites with coverage <10x were removed. Although SMRT analysis may sometimes erroneously identify 5mC as 4mC, as occurred for the fig genome 110, which has a full complement of plant 5mC- MTases but no N4C- MTases, we are confident that multiple orthologous methods applied to A.vaga, which lacks 5mC- MTases but has the N4C- MTase, validate our SMRT- seq cytosine modification calls as 4mC. Additional analyses were done with custom scripts for plotting results with R. We separated 4mC and 6mA according to their methylation levels: low- fraction sites (0.1- 0.5), moderately methylated (0.5- 0.8) and highly methylated (0.8- 1). The upstream and downstream 10- bp sequences from 4mC and 6mA modification sites were extracted for motif identification in each group by MEME- ChIP 111.
+
+Dot- blot immunoassays for histone marks. We first assayed, by dot- blot analysis, the reactivity of A. vaga histone methylation marks with Premium ChIP- seq grade affinity- purified rabbit polyclonal antibodies H3K4me3, H3K9me3 and H3K27me3, raised against synthetic peptides with the corresponding trimethylated lysines (Diagenode C15410003, C15410056 and C15410195, respectively). These antibodies display a wide range of species reactivity including vertebrates, Drosophila, C. elegans and plants, and have been tested by ChIP- seq, IF, Western blotting, and ELISA. The H3 N- terminal residues 1- 31 display 100% identity between A. vaga and humans; although formally cross- reactivity of K9/27 cannot be excluded for A. vaga, however none was observed in human peptide arrays spanning identical aa sequence (Diagenode). Protein extracts from Av- ref and AvL1, resuspended in 0.5 v of extraction buffer (10 mM Hepes, 5 mM MgCl2, 2 mM DTT, 10% glycerol and cOmplete protease inhibitor tablets (Roche)), were spotted on BioTrace™ NT Nitrocellulose Transfer Membrane (Pall Corporation), air dried and blocked in 5% BSA in TBST (containing 0.05% v/v Tween) for 1 h at RT and incubated with 1:10,000 anti- H3K4me3, H3K9me3 or H3K27me3 antibodies at RT for 1 h. The membrane was washed three times with TBST, incubated with 1:10,000 goat anti- rabbit HRP antibody (Sigma) at room temperature for 1 h, washed three times with 1x TBST, then once with TBS and developed using SuperSignal™ West Dura Extended Duration Substrate (Thermo Fisher Scientific). Chemiluminescence was detected using the Amersham Imager 600 chemiluminescence imager (GE Healthcare).
+
+ChIP- seq. Chromatin immunoprecipitation (ChIP) was performed based on the C. elegans protocol 112 with minor modifications. Briefly, rotifers were starved for 48 h before collection, and live animal pellets were washed with PBS, followed by another round with protease inhibitor (cOmplete Roche tablet). The 1- ml pipette tip was used to drip mix into a porcelain mortar containing liquid nitrogen, and the frozen rotifer "popcorn" was ground to fine powder with a pestle. Nuclear proteins were cross- linked to DNA by adding 1.1% formaldehyde (Thermo) in PBS + 1x protease/phosphatase inhibitors (Halt™ Protease & Phosphatase Inhibitor Cocktail, Thermo) for 10 min at room temperature on a rocking platform. Cross- linking was stopped by adding glycine to a final concentration of 0.125 M and incubating for 5 min at room temperature. The medium was removed, and the cells were washed twice with ice- cold PBS containing 1 mM PMSF. The cells were then collected in FA lysis buffer (FA buffer + 0.1% sarkosyl + protease/phosphatase inhibitors); FA buffer: 50 mM HEPES/KOH pH 7.5, 1 mM EDTA, 1% Triton™ X- 100, 0.1% sodium deoxycholate; 150 mM NaCl. Subsequently, the chromatin was isolated, sonicated (Covaris S220: 2% Duty Cycle, 105W Peak, 200 Cycles, 360 sec, 6°C), and immunoprecipitated with anti- H3K4me3 antibody, anti- H3K27me3 antibody, anti- H3K9me3 antibody (all from Diagenode) or no antibody (input control). After reverse- cross link (overnight at 65°C), DNA was purified by using 2x phenol- chloroform- isoamyl alcohol (25:24:1) extraction and ethanol precipitation. DNA was resuspended in 35 μl 10 mM Tris- Cl, pH 8.5. The ChIP DNA and input DNA were used to construct ChIP- seq libraries using NEBNext Ultra II DNA Library Prep Kit (NEB) following the manufacturer's procedure. The libraries were sequenced on Illumina NextSeq 500 platform for 75 bp single- end HT at the W.M. Keck Sequencing Facility at the MBL. After demultiplexing and adapter trimming (bcl2fastq software, Illumina), the raw reads were cleaned up to obtain high- quality reads (see parameters in IP- seq). Clean reads were mapped to Av- ref and AvL1 assemblies using bowtie2 113 with default parameters. Genomic regions associated with histone modification were identified using Model- based Analysis of ChIP- Seq (MACS2) 105 using default parameters.
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+RNA- seq. For A. vaga Av- ref transcriptome, total RNA was extracted from animals at all life- stages with TRIzol® (Invitrogen) following manufacturer's protocol with a glass Dounce homogenizer. After DNase I (NEB) treatment on RNA Clean & Concentrator columns C- 5 (Zymo Research), A. vaga total RNA was eluted and subjected to poly- A selection with Ambion MicroPoly(A) Purist Kit (Thermo Fischer). Libraries were prepared with Encore Complete Library RNA- Seq Library Systems (NuGen). A total of 3 biological replicas were sequenced on a dedicated Illumina NextSeq Mid lane (1x150bp) and, after QC (http://hannonlab.cshl.edu/fastx_toolkit/) and adapter trimming (Cutadapt v1.9.2) \(^{103}\) , mapped to Av- ref \(^{16}\) with Tophat 2.1.1 \(^{114}\) , using default parameters and - - max- intron- length 100. Aligned sequence reads were counted by genomic feature with HTSeq- count \(^{115}\) , using default parameters.
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+For AvL1 transcriptome, RNA extraction was performed following \(^{16}\) for the fully hydrated A. vaga L1 cultures containing animals at all life- stages. Rotifers were collected by centrifugation at 10,000 rpm. After removal of the supernatant (spring water), total RNA was extracted with Trizol (Invitrogen) followed by ethanol precipitation. After DNaseI treatment (DNA- free, Ambion), 1 μg of total RNA was shipped for QC, library preparation (eukaryotic mRNA protocol) and Illumina sequencing (HiSeq x PE150bp) to Novogene Co., Ltd. Raw reads (~3.3 Gb) from two lanes as technical replicates were processed (see parameters in IP- seq), and properly paired reads were aligned to the AvL1 assembly using TopHat v2.1.1 \(^{116}\) , using default parameters and - - max- intron- length 100. Mapped reads were counted within each feature with HTSeq- count \(^{115}\) using default parameters, which was used to calculate RPKMs of annotated genes.
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+Prediction of protein- coding genes. BRAKER \(^{117}\) , a combination of GeneMark- ET \(^{118}\) and AUGUSTUS \(^{119}\) , was used to predict protein- coding genes in the AvL1 genome using aligned RNA- seq data. TopHat alignments were used to generate UTR training examples for AUGUSTUS to train UTR parameters and predict genes. This procedure was done with - - softmasking enabled, after masking the genome with RepeatMasker (see Repeat annotation). Total predictions comprised 74,569 gene models originating from 74,233 loci. Initial predictions were filtered from TE genes using AvL1 TE annotations (RepeatMasker) and BLAST homology search to known TE proteins. BLAST searches were performed with 74,569 gene predictions using blastp (blast+) and blastx (diamond blast) onto nr and uniref90 databases, respectively. BLAST descriptions with TE- related terms ("transposon", "transposable", "integrase", "reverse transcriptase", "pol", "gag") were considered as TE- associated proteins. A total of 977 genes were classified as AvL1 TE- related. A further quality check of gene annotations filtered incomplete genes. Annotations at the contig boundaries were removed (n = 5205), along with CDS that carried a premature stop codon (n = 282) or without appropriate termination codon at the CDS end (n = 2748, which mostly fall on contig boundaries). A final filter was applied to remove annotations with no BLAST homology (neither nr nor uniprot) and for which CDS sequence was under 300 bp. A final gene set of 65,934 annotations was used for downstream analysis.
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+Repeat annotation. We used the REPET package with default settings for initial AvL1 de novo TE identification and annotation \(^{120}\) . The automated library of TE families was subjected to extensive manual curation, as was previously done for Av- ref \(^{16}\) , and used as database for searching and annotating TE copies in the AvL1 assembly with RepeatMasker \(^{121}\) . We used RMBlast (National Center for Biotechnology Information Blast modified for use with RepeatMasker) as search engine. Initial RepeatMasker output was filtered for copies covering less than 5% of reference TE length. The output was converted into gff3 format for subsequent analysis. TE annotation was intersected with gene prediction models to eliminate any duplication events spanning both databases and to obtain a list of TE- encoded genes for further analysis. For tandem repeat (TR) identification, AvL1 assembly was uploaded to Tandem Repeats Database \(^{122}\) . We generated an initial set of TRs by analyzing the sequence of each contig using Tandem Repeats Finder \(^{123}\) with default parameters (match=2, mismatch=7, indels=7, minimal alignment score=50). Further searches with modifications in the alignment score (size of the repeat unit) were performed, and manual correction was carried out when necessary.
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+Small RNA analysis. A. vaga sRNA- seq data (SRA accession no. SRP070765) for two wildtype small RNA replicas were mapped to Av- ref genome as described in \(^{48}\) . Heatmaps of sRNA- Seq data for genes, TEs, and DIP- seq and ChIP- seq peaks were generated with deepTools \(^{124}\) for each annotation. Reads normalized to 1x sequencing depth (RPGC or reads per genomic content) were used for normalization in heatmaps.
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+Methylation data processing and visualization. For generation of heat maps and profile plots, the DeepTools \(^{124}\) computeMatrix, plotHeatmap and plotProfile scripts were used with specific parameters: RPGC normalization, bin size 10, effective genome size (Av 213837663 and AvL1 217117546), extendReads (IP-seq 50, ChIP-seq 75, sRNA-seq 50), interpolationMethod nearest. The annotatePeaks function from HOMER Tools \(^{125}\) was used to obtain methylation profiles of selected regions of interest, using different window and bin sizes (parameters given in figure legends). Overlapping values of different annotated features (DIP/ChIP-seq peak, base modification) were estimated with bedtools v2.27.1 \(^{126}\), whether they are intersecting (bedtools intersect) or after providing a specific size window (bedtools window). Genome-wide 4mC/6mA visual representations were generated using Circos \(^{127}\): Av-ref reads were plotted from two genomic Illumina libraries (SRP020364) with different insert size (450 and 862 bp); AvL1 reads were plotted from Illumina (SRR8134454) and PacBio (SRX6639068).
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+Collinearity analysis. Syntenic regions within and between genomes were identified using MCScanX \(^{128}\) after blastp all-versus-all (e- val = 1e- 10, maximum number of target sequences = 5) of the protein annotations from both genomes (Av- ref and AvL1). We searched for collinear block regions with at least 3 homologous genes and 20 maximum gaps allowed. The Ks and Ka (synonymous and nonsynonymous substitution, respectively) values between pairs of collinear genes were calculated with the script add_kaks_to_MCScanX.pl (https://zenodo.org/badge/latestdoi/92963110). We also searched for collinearity breaks between adjacent homologous blocks, defined as regions where homologous blocks could not be aligned along scaffolds without some rearrangements.
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+Phylogenetic analyses. MTase homologs in bdelloids were identified by tblastn searches of GenBank WGS databases at NCBI, checked for the presence of metazoan genes in the vicinity, translated with validation of exon- intron structure, and used in blastp searches of REBASE \(^{1}\) to obtain MTases with known recognition sequences. Multiple sequence alignments were performed by MUSCLE v.3.8.31 \(^{129}\). Amino acid sequences were clustered by neighbor- joining, as MTases are not amenable to conventional phylogenetic analysis due to hypervariability of the target recognition domain, and the tree was visualized in MEGA \(^{130}\). MBD- containing bdelloid proteins were identified by profile HMM search \(^{131}\) with the MBD query (PF01429). Av- ref SETDB1 homologs from Genoscope annotation were manually re- annotated to improve quality, and full- length proteins were used as queries in blastp searches of refseq_protein database at NCBI to obtain additional orthologs from 10 bdelloid species and representative protostome taxa. Maximum likelihood phylogenetic analysis was done with IQTREE v1.6.11 \(^{132}\) using best- fitting model selection and 1,000 ultrafast bootstrap replicates. Ago/Piwi counts in AvL1 were done as in \(^{47}\).
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+Data and Code Availability: Sequences obtained in this study were deposited under BioProject PRJNA558051 (SRA accession Nos. SRR9886612, SRR9900832- 45 for individual SMRT cells). The Avaga_MBL_L1 genome assembly was deposited under accession No. JAGENE000000000. The ChIPseq, MeDIP-seq and RNA-seq datasets were deposited in GEO under accession Nos. GSE140049- 52. All materials and (non- essential) custom scripts are freely available without restrictions.
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+Reporting Summary: Further information on research design is available in the Nature Research Reporting Summary linked to this article.
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+## Supplementary Files
+
+This is a list of supplementary files associated with this preprint. Click to download.
+
+nreditorialpolicychecklist.pdf nrreportingsummary.pdf accesstosequencingdata.docx SupplementaryTableS11. xlsx SupplementaryDataFilesS1S4. xlsx
+
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+<|ref|>title<|/ref|><|det|>[[44, 108, 933, 175]]<|/det|>
+# Bacterial N4-methylcytosine as an epigenetic mark in eukaryotic DNA
+
+<|ref|>text<|/ref|><|det|>[[44, 196, 668, 377]]<|/det|>
+Femando Rodriguez Marine Biological Laboratory https://orcid.org/0000- 0003- 4044- 8734 Irina Yushenova Marine Biological Laboratory https://orcid.org/0000- 0001- 6291- 6215 Daniel DiCorpo Marine Biological Laboratory Irina Arkhipova ( iarkhipova@mbl.edu ) Marine Biological Laboratory https://orcid.org/0000- 0002- 4805- 1339
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 417, 102, 435]]<|/det|>
+## Article
+
+<|ref|>text<|/ref|><|det|>[[43, 455, 950, 498]]<|/det|>
+Keywords: non- canonical modifications, amino- methyltransferase, horizontal gene transfer, transposable elements, retrotransposons, epigenetic silencing
+
+<|ref|>text<|/ref|><|det|>[[44, 515, 318, 535]]<|/det|>
+Posted Date: August 16th, 2021
+
+<|ref|>text<|/ref|><|det|>[[43, 553, 463, 573]]<|/det|>
+DOI: https://doi.org/10.21203/rs.3.rs- 360382/v1
+
+<|ref|>text<|/ref|><|det|>[[43, 591, 910, 634]]<|/det|>
+License: © This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+<|ref|>text<|/ref|><|det|>[[42, 669, 945, 712]]<|/det|>
+Version of Record: A version of this preprint was published at Nature Communications on February 28th, 2022. See the published version at https://doi.org/10.1038/s41467- 022- 28471- w.
+
+<--- Page Split --->
+<|ref|>title<|/ref|><|det|>[[66, 88, 872, 113]]<|/det|>
+# Bacterial N4-methylcytosine as an epigenetic mark in eukaryotic DNA
+
+<|ref|>text<|/ref|><|det|>[[66, 123, 865, 444]]<|/det|>
+1 Bacterial N4- methylcytosine as an epigenetic mark in eukaryotic DNA2 Fernando Rodriguez1,3, Irina A. Yushenova1,3, Daniel DiCorpo1,2, Irina R. Arkhipova1\*4 1Josephine Bay Paul Center for Comparative Molecular Biology and Evolution, Marine Biological Laboratory, Woods Hole, MA 02543, USA2Present address: Department of Biostatistics, Boston University School of Public Health, Boston, MA 02118, USA3These authors contributed equally to this work\*Correspondence: iarkhipova@mbl.edu (I.A.)
+
+<|ref|>text<|/ref|><|det|>[[66, 404, 840, 472]]<|/det|>
+Keywords: non- canonical modifications; amino- methyltransferase; horizontal gene transfer; transposable elements; retrotransposons; epigenetic silencing
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 87, 880, 397]]<|/det|>
+In eukaryotes, 5- methylcytosine is the predominant DNA base modification, followed by N6- methyladenine. However, N4- methylcytosine (4mC) is confined to bacteria. Here we report that 4mC can serve as an epigenetic mark in eukaryotes. Bdeloid rotifers, freshwater invertebrates with transposon- poor genomes that are rich in foreign genes, lack C5- methyltransferases but encode an amino- methyltransferase, N4CMT, captured from bacteria \(>60\) Mya. N4CMT introduces 4mC into DNA, and its chromodomain shapes the "histone- read- DNA- write" architecture together with a "DNA- read- histone- write" SETDB1/eggless H3K9me3 histone methyltransferase variant preferentially binding 4mC- DNA, to maintain 4mC and silent chromatin at transposons and tandem repeats. Our results bring the third base modification into the eukaryotic repertoire, demonstrate how non- native DNA methyl groups can reshape complex epigenetic systems to suppress transposon proliferation, and establish horizontal gene transfer as the source of regulatory innovation in eukaryotes.
+
+<|ref|>text<|/ref|><|det|>[[111, 420, 884, 900]]<|/det|>
+Modification of nucleobases without changes in the underlying genetic code offers unmatched opportunities for "writing" extra information onto DNA, the primary carrier of hereditary material. Covalent association of modifying groups with DNA provides advantages over more easily removable carriers of epigenetic information, such as RNA or proteins, for potential transmission across cell divisions and generations. In bacteria and archaea, DNA modifications are first and foremost associated with restriction- modification (R- M) systems acting to discriminate and destroy the invading foreign DNA, although multiple "orphan" methyltransferases (MTases) may perform regulatory functions \(^{1,2}\) . Eukaryotes mostly use base modifications for regulatory purposes, with the predominant form of epigenetic modification in eukaryotic genomes being C5- methylcytosine (5mC) with its derivatives \(^{3,4}\) . Often called "the fifth base", 5mC plays an important role in genome defense against mobile genetic elements, and is often associated with transcriptional silencing, establishment of the closed chromatin configuration, and repressive histone modifications \(^{5}\) . The 5mC mark is introduced by C5- MTases, DNMT1 and DNMT3, thought to have originated from bacterial C5- MTases in early eukaryotes via fusions with additional domains interacting with proteins and DNA \(^{6}\) , while DNMT2 acts primarily on tRNA \(^{7,8}\) . Recently, another modified base, N6- methyladenine (6mA), gained attention as a novel form of epigenetic modification in diverse eukaryotes \(^{9- 11}\) . In 6mA, the methyl group is added to the exocyclic amino group of adenines by amino- MTases, some of which are related to RNA- modifying MTases \(^{10,12}\) . However, the third type of DNA methylation naturally occurring in bacteria, the N4- methylcytosine (4mC), has not been convincingly demonstrated in eukaryotes
+
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+13, and earlier claims of 4mC existence in eukaryotes could neither provide confirmation by orthogonal methods nor identify the corresponding enzymatic component. Here, we combine multiple lines of evidence to establish the first case of 4mC modification in eukaryotic genomes, investigate its recruitment as an epigenetic mark, and characterize the underlying enzymatic machinery, revealing how a horizontally transferred gene can become established in a complex regulatory network and maintained by selection over tens of millions of years of evolution.
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 258, 183, 274]]<|/det|>
+## Results
+
+<|ref|>text<|/ref|><|det|>[[110, 280, 884, 682]]<|/det|>
+A bacterial amino- MTase in bdelloid rotifers. Rotifers of the class Bdelloidea are tiny freshwater invertebrates a fraction of a millimeter long, characterized by clonal reproduction, eutely, direct development, syncytial tissues, and paleotetraploid genome structure 14. They are known for an unmatched ability to incorporate foreign genes into genomic DNA, largely preserving their functionality 15. In sequenced belloids, 8- 12% of coding sequences are of non- metazoan, mostly bacterial, origin 16- 18. Surprisingly, we found that one such bacterial gene in the sequenced bdelloid Adineta vaga 16 is represented by an allelic pair of MTases containing the N6_N4_MTase domain (PF01555), which is closely related to amino- MTases of bacterial R- M systems acting on the exocyclic amino group of adenines and cytosines (Fig. 1a). Its orthologs, sharing the same four conserved intron positions, are present in sequenced representatives of each major family of the class Bdelloidea, dating back 40- 60 Mya, but are absent from sequenced members of the sister class Monogononta or from any other sequenced eukaryotes (Fig. 1e,f). Both classes, however, encode each of the three MTase types previously implicated in adding 6mA marks to eukaryotic DNA: METTL4- like (PF05063: MT- A70), N6AMT1- like (PF05175: MTS) and N6AMT2- like (PF10237: N6- adenineMlase) 12,19- 22 (Fig. 1b,f). Notably, none of the sequenced rotifers encode the most common eukaryotic C5- MTases Dnmt1 or Dnmt3, harboring only the tRNA- modifying Dnmt2/Trdmt.
+
+<|ref|>text<|/ref|><|det|>[[111, 687, 879, 898]]<|/det|>
+The A. vaga N6_N4_MTase belongs to the permuted type, in which the catalytic domain is located N- terminally to the S- adenosylmethionine (AdoMet) binding domain 23 (Fig. 1a). Its evolutionary history (Fig. 1e) differs dramatically from that of 5mC- or N6A- MTases 6. The small non- permuted pan- eukaryotic MTases N6AMT1 and N6AMT2 (Fig. 1b), variably annotated either as N(6)- adenine MTases or as small N5- glutamine (HemK- like) and lysine (EEF1A) MTases, respectively, have been implicated in N6A methylation based on knockout/knockdown data 20,24, but do not carry N- or C- terminal extensions, and modify proteins rather than DNA in functional assays 25- 29, suggesting that in vivo perturbations may have indirect effects. The presumptive N6A- MTase METTL4_Av has a conserved N- terminal domain (KOG2356:
+
+<--- Page Split --->
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+transcriptional activator, adenine- specific DNA methyltransferase) present in METTL4- like ORFs of most eukaryotes, including A. vaga (Fig. 1b, top); this permuted MTase, found in all belloids, may have persisted in eukaryotes throughout their evolutionary history (Fig. 1f, Table S1). In contrast, the bdelloid N6_N4_MTase has no eukaryotic homologs, and can be aligned only with permuted bacterial N4C- and N6A- MTases (Type II, subtype \(\beta\) ), which cluster in accordance with their target recognition domains (TRD) recognizing specific targets compiled in REBASE \(^{1,23,30}\) (Fig. 1e; Supplementary Data File S1). Interestingly, the bdelloid lineage clusters with phage MTases of unknown target specificity, and its closest bacterial homologs are N4C- MTases recognizing TCGA and CCSGG. Thus, we tentatively assigned it to N4C- MTases and named it N4CMT, since it harbors the catalytic SPPY motif shared with most bacterial N4C- MTases and differing from bacterial N6A- MTases (DPPY), eukaryotic N6AMT1 (NPPY), N6AMT2 (DPPY/F) or METTL4- like enzymes (DPPW, also seen in METTL3/IME4- like m6A- RNA MTases) \(^{12,23,31}\) (Table S2).
+
+<|ref|>text<|/ref|><|det|>[[110, 423, 877, 590]]<|/det|>
+Presence of 4mC and 6mA marks in genomic DNA. We next sought to find out whether recruitment of a horizontally transferred bacterial MTase resulted in establishment of bacterial epigenetic marks in bdelloid genomic DNA (gDNA). A strong indication that N4CMT could interact with chromatin to add 4mC to DNA comes from the presence of a eukaryotic chromosomal from the HP1/chromobox subfamily of methylated lysine- binding Royal family of structural folds \(^{32}\) at the C- terminus of the bacterial N6_N4_MTase moiety in sequenced bdelloids (Fig. 1a).
+
+<|ref|>text<|/ref|><|det|>[[110, 608, 875, 842]]<|/det|>
+Fig. 1. Putative DNA methyltransferases and modified bases in bdelloid rotifers. a-b, Domain structure of putative N4C (a) and N6A (b) bdelloid amino- MTases. PFAM/KOG domains are indicated; conserved catalytic motifs and S- adenosylmethionine (AdoMet) binding sites are flagged; numbers correspond to aa positions in A. vaga. See Supplementary Data File S1 for gene IDs and aa sequences. c, Immuno- dot- blot analysis of membrane- immobilized gDNA from A. vaga Av- ref (746 ng), AvL1 (500 ng), E. coli C2925 dam-/dcm- (550 ng) and E. coli M28 (2 μg) probed with anti- 4mC (top panel) and anti- 6mA (bottom panel) antibodies. d, Summary of gDNA digestion (+) with restriction enzymes differing by methylation sensitivity: Mbol (blocked by dam methylation); Dpnl (cleaves only dam methylated DNA); Sau3AI (not sensitive to dam or dcm methylation); McrBC (cleaves at any methylated cytosine). e, Neighbor- joining phylogram of permuted MTases of Type II, subtype \(\beta\) , displaying clustering by recognition sequences (obtained from REBASE). Clustering is not intended to uncover phylogenetic relationships in bacteria. Red arrow indicates acquisition of a chromodomain (CHD) by the bdelloid N4CMT. The source alignment is provided in Supplementary Data File S1. f, Phyletic distribution patterns of putative DNA methyltransferases implicated in 4mC, 6mA and 5mC addition. A consensus cladogram of metazoan phyla is shown on the left. g, Adineta vaga (isolate AvL1) under polychromatic polarization microscope. Photo credit: M. Shribak, I. Yushenova. Scale bar, 50 μm.
+
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+
+<|ref|>text<|/ref|><|det|>[[113, 731, 880, 894]]<|/det|>
+To detect 4mC/6mA marks in bdelloid genomes, we extracted gDNA from the A. vaga laboratory reference strain (hereafter Av- ref) \(^{16}\) fed with methyl- free E. coli (Table S3) and performed immuno- dot- blotting with anti- 4mC and anti- 6mA antibodies (Methods). We also extracted gDNA from the natural A. vaga isolate L1 (hereafter AvL1; Fig. 1g), which was caught in the wild and identified as A. vaga through morphological criteria and mtDNA phylogeny, but represents a distinct morphospecies within the A. vaga species complex, as its gDNA is only \(88\%\) identical to Av- ref \(^{33}\) . Fig. 1c shows that gDNA from Av- ref and AvL1 reacts positively with
+
+<--- Page Split --->
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+both antibodies, suggesting the presence of 4mC and 6mA marks. Control DNAs isolated from the dam- /dcm-, DH5α and Top10 E. coli strains, or from E. coli M28 strain used as food (Table S3), did not react with anti- 4mC antibodies (Fig. 1c), and neither we observed any cross- reactivity of the anti- 4mC antibody with 5mC- containing human DNA (data not shown). Also consistent with the presence of modified cytosines were the results of treatment of total A. vaga gDNA with the McrBC endonuclease, which cleaves at methylated cytosines (5mC, 5hmC, 4mC) \(^{34,35}\) (Fig. 1d; see also Fig. 3b below). Together with the absence of C5- MTases, similarity of N4CMT to bacterial N4C- MTases (Fig. 1e) and the lack of 5mC deamination signatures in gDNA from observed/expected CpG ratios (Extended Data Fig. 1a), our data support the hypothesis that cytosines in bdelloids are modified at the N4- rather than C5- positions. Still, signals in gDNA may originate from residual methylated bacterial DNA from sources other than food. Thus, we sought to examine distribution of 4mC marks over annotated genomic features in bona fide eukaryotic contigs.
+
+<|ref|>text<|/ref|><|det|>[[111, 421, 881, 875]]<|/det|>
+Genome- wide analysis of 4mC and 6mA by DIP- seq. We exploited immunoreactivity of bdelloid DNA with anti- 4mC and anti- 6mA antibodies to study genome- wide distribution of these methylation marks by DIP- seq (DNA immunoprecipitation followed by sequencing, also called MeDIP- seq; see Methods). After read mapping to Av- ref, the MACS peak- calling tool identified 1008 and 1735 DIP- seq peaks (p- value \(< 1e - 5\) ) for 4mC and 6mA, respectively, which were broadly distributed throughout the assembly. To uncover biologically relevant patterns behind peak distribution, we compared peak coverage densities for 4mC and 6mA near annotated genomic features, such as gene coding sequences (CDS) and transposable elements (TEs), using different window and bin sizes. We visualized distribution of 4mC and 6mA sites near TEs by aligning TEs at the 5' end (profiles) or aligning TE bodies from 5' to 3' end at a fixed distance (metaprofiles), and plotting the tag occupancy, which shows the relative number of tags (peaks, base modifications) against the total number of TEs for each bin size within a pre- determined upstream and downstream window. Fig. 2a shows representative results for 5- kb window size. About one- half of 4mC peaks (468 out of 1008) and a quarter of 6mA peaks (430 out of 1735) are close to TEs, and 4mC shows elevated peak coverage density near TE insertions in comparison with 6mA (Fig. 2a, left), suggesting that TE insertions could be an important 4mC modification target. For gene annotations, modification density is much lower and appears inversed in comparison with TEs, with more 6mA depositions (1261 out of 1735) than 4mC (398 out of 1008) (Fig. 2a, center).
+
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+Fig. 2. Genome-wide distribution of 4mC and 6mA methylation in A. vaga. a, Distribution of DIP-seq 4mC and 6mA sites around genes, TEs (metaprofiles) and 5'- end TE profiles in Av-ref, showing peak coverage in 25-bp bins within \(\pm 2.5\) kb of each feature. In metaprofiles, the body size feature, representing genes or TEs, is automated and normalized (0-100% length). TE 5'- profile shows 4mC and 6mA sites near 5' boundaries, aligning transposons at the 5' end. b, IPD ratios in AvL1 SMRT-seq data at four representative 4mC and 6mA modification sites. Purple and orange bars, Watson and Crick strands. c, Numbers of SMRT-seq 4mC and 6mA modified bases in 5-bp and 25-bp bin sizes within \(\pm 0.5\) kb and \(\pm 2.5\) kb of 5' TE boundaries. d, MEME-ChIP motif analysis of regions around SMRT-seq 4mC and 6mA sites. Windows of \(\pm 5\) , \(\pm 10\) and \(\pm 20\) bp were extracted and searched for significant motif enrichment. The p-value generated by MEME-ChIP is shown under each motif. e, Methylation fraction distribution at modified sites detected by SMRT-seq. Most 4mC sites are fully methylated (fraction=1); average methylation level of 6mA sites is 0.74. f, PacBio read coverage distribution by base modification sites. Minimal threshold coverage limit applied for calling 4mC and 6mA methylated sites to calculate methylation fraction per site in (e) is shown by a dashed line. g, Average numbers of 4mC and 6mA base modifications in protein-coding genes, TEs and tandem repeats. Average is calculated as the total number of modified sites divided by total number of annotations (unique IDs) in each feature and divided (normalized) by the genome fraction covered by such annotation in the genome (genes, 0.533; TE, 0.021; TR, 0.0084). h, Distribution of SMRT-seq 4mC and 6mA sites within genic features (CDS, intron, 5' UTR, 3' UTR, 5'- promoter region) and intergenic regions by average feature size (bp). i, DNA methylation density (mean number of SMRT counts) vs TE copy integrity (full, medium and short, as indicated).
+
+<|ref|>text<|/ref|><|det|>[[112, 387, 876, 692]]<|/det|>
+To find out whether peaks are distributed non- randomly, we examined the statistical significance of genomic correlations between peak distribution and annotated genomic features. Since functional interactions often depend on spatial proximity between the reference feature and the density of query features relative to it, we used spatial correlations as a proxy for functional analysis (Table S4). Genometric correlation analysis of annotated Av- ref scaffolds shows that 4mC peaks and TEs are non- uniformly distributed (p- value: 1.29E- 13, Kolmogorov- Smirnov test), and that the query features (4mC peaks) are closer than expected to the reference features (TEs) (Jaccard and permutation test). In contrast, we find that 6mA peaks and TEs are more uniformly (randomly) distributed (p- value: 0.036, Kolmogorov- Smirnov test), and that 6mA peaks tend to be further away from TEs (permutation test). When gene annotations are used as reference points, both 4mC and 6mA modifications are uniformly distributed, but for 6mA peaks the distance from genes is consistently small, while for 4mC peaks the distance from genes tends to be larger (Jaccard and permutation test).
+
+<|ref|>text<|/ref|><|det|>[[112, 697, 880, 910]]<|/det|>
+The presence and distribution of 4mC and 6mA DNA modifications in AvL1 strain was similarly interrogated by DIP- seq. We generated DIP- seq reads and mapped them to the AvL1 assembly (Methods). After peak calling with MACS, we identified 1473 and 1385 peaks (p- value \(< 1e - 05\) ) for 4mC and 6mA, respectively. To further understand methylation patterns in AvL1, we performed initial gene and TE annotations with fully automated training methods for gene prediction, using genomic and RNA- Seq data (Braker2; see Methods) (Table S5). AvL1 repeat library was constructed de novo, curated, and used to annotate TEs (Methods). Initial analysis showed that 4mC- DIP- seq and 6mA- DIP- seq peaks were more frequently deposited close to TEs than to genes, with peak coverage increasing over TEs. Extended Data Fig. 2a,b show the
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 87, 875, 230]]<|/det|>
+peak analysis for a 5- kb window size, in which 1097 4mC peaks (out of 1473) and 1042 6mA peaks (out of 1385) are close to TEs, while 863 4mC and 813 6mA peaks are close to genes (excluding TEs). Genometric correlation analysis on AvL1 showed that both modification peaks, 4mC and 6mA, have a small absolute positive correlation (Table S4) and are closer than expected to TEs as reference features than to gene models (Jaccard and permutation test). In sum, DIP- seq data in both Av- ref and Av- L1 suggest preferential localization of 4mC over TEs.
+
+<|ref|>text<|/ref|><|det|>[[110, 253, 872, 516]]<|/det|>
+Modification analysis at single- base resolution by SMRT- seq. While immuno- dot- blots and differential gDNA digestion suggested the presence of 4mC in bdelloid gDNA, it was not possible to fully eliminate gDNA from commensal bacteria, even using methyl- free E. coli food strains and applying starvation/antibiotic treatments prior to DNA extraction (Methods). Hence, we chose not to use mass- spectrometry (MS) as a method to confirm the presence of 4mC in bdelloids, especially considering reports that unknown MS- peaks can comigrate with 4mC 13. Further, low resolution of the DIP- seq method limits the power of correlation analyses to the length of DNA fragments used for antibody binding (250- 450 bp), not to mention residual IgG binding to non- modified fragments inherent to the method 36. Thus, we chose to examine genome- wide distribution of modified bases by single- molecule real- time (SMRT) sequencing, which provides single- nucleotide resolution and allows validation of rotifer contigs (Methods).
+
+<|ref|>text<|/ref|><|det|>[[110, 519, 879, 730]]<|/det|>
+SMRT- based detection exploits the kinetic signatures of polymerase passage through modified vs non- modified bases and is quantified in terms of inter- pulse duration (IPD) ratios. It is best suited for detection of 4mC and 6mA, characterized by strong kinetic signatures, which require \(\sim 10\) - fold lower coverage than 5mC detection (Pacific Biosciences Methylene Analysis Technical Note) and is widely used in bacterial methylome analyses 30,37. We obtained PacBio reads (15 SMRT cells, totaling 9.87 Gb) from gDNA extracted from AvL1 eggs and analyzed the kinetic profiles with SMRT® Portal (Methods). Prior to quantification of modified bases, we bioinformatically removed residual bacterial contigs (Methods), which, as expected, show high methylation density.
+
+<|ref|>text<|/ref|><|det|>[[110, 734, 876, 899]]<|/det|>
+SMRT- analysis detected 4mC modifications on 21,016 cytosines (0.0643% of the total cytosines in the assembly) and 6mA modifications on 17,886 adenines (0.0236% of total adenines) using a minimum cutoff PacBio coverage defined in Fig. 2f (see Table S6 for comparison of 10x and 20x coverage levels). As with DIP- seq, SMRT- seq shows broad distribution of both modifications across the AvL1 assembly. Comparison of DIP- seq and SMRT- seq modification patterns shows a considerable overlap, with 36% of 4mC peaks and 32% of 6mA peaks overlapping with 4mC and 6mA identified by SMRT analysis, respectively, showing
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 88, 879, 179]]<|/det|>
+that many peaks are conserved between eggs and adults. This overlap is quite substantial, given the modest percentage of modified bases, and is comparable to the overlap reported for 6mA and 5mC using the same orthogonal methods in mouse ESCs \(^{22}\) , even with developmental differences between eggs and adults not seen in protostomes, at least for 5mC \(^{38}\) .
+
+<|ref|>text<|/ref|><|det|>[[111, 184, 880, 516]]<|/det|>
+In contrast to the predominantly symmetric patterns of 5mC deposition at CpG doublets in eukaryotes, AvL1 shows mostly asymmetric patterns of methylation for both 4mC and 6mA, i.e. only one strand is usually modified (Fig. 2b shows typical examples). At 4mC sites, CpG and CpA dinucleotides are the most prevalent, making up \(74\%\) of modified doublets. For better identification of sequence preferences, we extracted different sequence windows (5, 10 and 20 bp) upstream and downstream from 4mC sites and searched for significant motif enrichment with MEME- ChIP (Methods) (Fig. 2d). For 4mC, three motifs with CG or CA dinucleotides were most significantly enriched (from \(p = 2.8e - 593\) to \(p = 1.4e - 513\) ). For 6mA, a similar approach yielded three significantly enriched short motifs (from \(p = 7.3e - 656\) to \(p = 4.3e - 420\) ) and increasing the motif length yielded GA embedded in an A- rich region ( \(p = 2.4e - 1243\) ). The dinucleotide GA is the most prevalent at 6mA sites, and the most common triplets AGG or GAA, when combined, compose \(34\%\) of all 6mA triplets. These findings parallel 6mA motif preferences in most metazoans but differ from unicellular eukaryotes and early- diverging fungi, in which the symmetric 6mA methylation targets ApT dinucleotides (Table S1).
+
+<|ref|>text<|/ref|><|det|>[[112, 520, 877, 707]]<|/det|>
+In addition to measuring coverage at each 4mC and 6mA site, the SMRT- analysis pipeline reports different methylation levels (fraction), referring to the proportion of times a given nucleotide is identified as methylated (1 equals \(100\%\) methylation). Notably, most of the 4mC methylation corresponds to high- fraction sites (0.5- 1), dominating over low- fraction sites (0.1- 0.5) at a ratio 71:1, with \(58\%\) of 4mC sites being fully methylated (Fig. 2e). Methylation at 6mA sites appears more dynamic, although the highly methylated (0.8- 1) and moderately methylated (0.5- 0.8) sites still dominate over low- fraction sites (0.1- 0.5), which constitute only \(12\%\) of 6mA sites.
+
+<|ref|>text<|/ref|><|det|>[[112, 712, 868, 875]]<|/det|>
+We plotted the density of 4mC and 6mA in AvL1 (DIP- seq and SMRT- seq) across annotated features (genes, TEs, tandem repeats) (Fig. 2c,g; Extended Data Fig. 2a- d). The 4mC and 6mA tag densities reach similar levels for each annotation type (Fig. 2g). The 4mC density appears higher near TE 5'- ends (Fig. 2c), as was also seen in Av- ref DIP- seq showing increased deposition of 4mC peaks close to TE 5' ends (Fig. 2a, right). Nevertheless, a considerable number of 6mA sites (DIP- seq and SMRT- seq) is found near TEs (Fig. 2g,i; Extended Data Fig. 2b,d).
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 88, 875, 300]]<|/det|>
+Methylation density in tandem repeats (TR) deserves a special mention. Fig. 2g shows that the average counts of 4mC and 6mA sites in TRs are elevated in comparison with TEs and genes. According to TRF annotation, only a small fraction (0.84%) of the AvL1 assembly is composed of TRs. Inspection of SMRT-seq modification data identified two repeats with very high density of methylated sites, located mainly on contigs 1882 and 785 adjacent to large Athena retroelements \(^{39}\) . Such extra-high modification density, approaching that in bacterial contigs, mostly accounts for over- representation of modified bases in TRs, leaving other TRs virtually unmethylated. In subsequent experiments, we took advantage of the high methylation susceptibility of these repeats (see below).
+
+<|ref|>text<|/ref|><|det|>[[112, 304, 880, 538]]<|/det|>
+In genes, the PacBio methylation tag density is much lower than that in TEs and TRs (Fig. 2g). Still, genic regions cover slightly over one- half of the AvL1 genome, attracting a sizeable fraction of 4mC and 6mA modifications (52% of 4mC and 54% of 4mA). To correlate methyl marks with gene structure, we examined 4mC and 6mA distribution using more refined features: gene bodies, promoters within 2 kb upstream of the transcription start site (TS), and intergenic regions which may include TEs and TRs, with gene bodies further subdivided into CDS (exons excluding 5' and 3' UTRs), introns, 5' and 3' UTRs (Fig. 2h). Altogether, base modifications are found in all features (CDS, promoters and intergenic regions), however when the density per average feature size is compared, CDS regions appear denser than introns (Fig. 2h), which is reminiscent of 5mC patterns in mammals \(^{40}\) .
+
+<|ref|>text<|/ref|><|det|>[[112, 542, 880, 777]]<|/det|>
+In AvL1, DIP- seq peaks show enrichment with 4mC and 6mA within TE bodies (Extended Data Fig. 2b). The PacBio 4mC sites display a trend for enrichment near the 5' TE boundaries, while 6mA sites show a local depletion (Fig. 2c), which is visible even though TE promoters are located near TE 5'- ends but not necessarily at the boundary, and is not due to a local change in base or dinucleotide composition (Extended Data Fig. 1b). Moreover, 4mC and 6mA marks are primarily found over full- length or nearly full- length TE copies and are practically absent from shorter TE fragments spanning less than one- half of TE consensi, suggesting that active TE copies are preferentially targeted (Fig. 2,i; see legend). The lack of 4mC and 6mA marks in shorter TE copies together with concentration of 4mC near 5' TE boundaries suggest that their deposition is associated with transcriptional activity.
+
+<|ref|>text<|/ref|><|det|>[[112, 782, 881, 899]]<|/det|>
+To visualize 4mC and 6mA densities in TRs, TEs and genes on representative contigs, we built the corresponding Circos plots (Extended Data Fig. 3a- d), in which the PacBio modification layer is plotted as modification fraction (from 0 to 1) for each modified base. In agreement with Fig. 2e, highly methylated 4mC sites dominate in most locations, while 6mA sites are distributed over a much wider methylated fraction range and across a wider feature range. Importantly,
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 87, 879, 203]]<|/det|>
+higher densities of modified bases are not correlated with areas of higher PacBio read coverage, indicating that over- representation of methyl marks over TEs and TRs is not due to excess coverage in these regions (e.g. mtDNA at 800x coverage displays very few such marks) (Extended Data Fig. 3e). Extended Data Fig. 3c,d shows that long copies of Vesta and Athena retrotransposons attract both methyl marks, but short copies do not.
+
+<|ref|>text<|/ref|><|det|>[[111, 228, 882, 560]]<|/det|>
+N4CMT acts as 4mC- methyltransferase in E. coli. While the presence of METTL4- like (or N6AMT- like) MTases in bdelloids likely ensures deposition of 6mA marks onto gDNA, the existence of N4CMT per se cannot be taken as evidence of its N4C- MTase activity, since the N6_N4_MTase domain repeatedly evolved 6mA or 4mC specificities 41. However, it is not possible to disrupt N4CMT function in vivo, as the tools for genetic manipulation in bdelloids are yet to be developed. We therefore sought to investigate the activity of the recombinant N4CMT protein in a heterologous system. To this end, N4CMT was PCR- amplified from A. vaga cDNA to obtain intronless versions (Methods; Table S7). Amplicons were cloned into pET29b expression vector with the N- terminal S- tag and the C- terminal 6xHis- tag and expressed in E. coli. We examined two A. vaga allozymes A and B, which differ by six amino acids (aa): three in the N6_N4_MTase domain and three in the chromodomain- containing C- terminus (Table S8; Extended Data Fig. 4a). We also tested two inter- allelic recombinants swapping the rightmost substitution near the C- terminal His- tag, which may have arisen during rotifer cultivation or PCR amplification, and two 3'- truncated derivatives with the C- terminal chromodomain removed.
+
+<|ref|>text<|/ref|><|det|>[[112, 564, 880, 897]]<|/det|>
+To assess N4CMT activity in vivo, its expression was induced by adding IPTG to the Rosetta 2(DE3) E. coli transformed with plasmid- borne N4CMT, and gDNA was extracted 4h post- induction (Methods). Fig. 3a shows the immuno- dot- blot of membrane- immobilized gDNAs probed with anti- 4mC and anti- 6mA antibodies, with 4mC signal observed from full- length N4CMT allozymes in the absence of signal from the untransformed host strain. As expected in the dam+ background, 6mA methylation was detected in all samples, thereby serving as an internal DNA control. Not surprisingly, removal of the chromodomain, which leaves a core MTase equal in length to its bacterial counterparts, did not reduce its activity, and even led to elevated signal intensity due to better solubility of the 33- kDa vs 45- kDa enzyme (Fig. 3a, N4CMT- \(\Delta\) Cbx). The N4CMT_A allozyme mostly showed weaker activity, suggesting that substitutions in the presumed TRD region of the N6_N4_MTase domain affect protein solubility or interaction with target DNA. These findings were corroborated by digestion of corresponding gDNAs with the McrBC endonuclease, which cleaves DNA at modified cytosines. Indeed, DNAs extracted from Rosetta 2(DE3) transformed with six N4CMT- expressing plasmids, as well as the
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[113, 88, 882, 132]]<|/det|>
+control human DNA, were readily digested with McrBC, while DNA from the untransformed dcm- strain was not (Fig. 3b).
+
+<|ref|>text<|/ref|><|det|>[[112, 137, 881, 253]]<|/det|>
+Finally, to ensure that the observed activity is directly attributable to N4CMT, we created N4CMT mutants in which the catalytic SPPY motif was replaced with APPA (Table S8). Fig. 3c shows that 4mC addition is abolished after substitution of the catalytic Ser and Tyr residues with Ala, indicating that N4CMT is responsible for adding N4- methyl groups to cytosines in dsDNA, with SPPY as the catalytic motif, thereby justifying our initial N4CMT designation.
+
+<|ref|>text<|/ref|><|det|>[[111, 280, 883, 704]]<|/det|>
+In vitro activity and substrate specificity of N4CMT. Next, we sought to find out whether recombinant N4CMT displays in vitro activity, as do other bacterial MTases. To this end, N4CMT was expressed in E. coli, partially purified by immobilized metal- affinity chromatography (Extended Data Fig. 4b,c), and used to methylate E. coli gDNA for 4 h at \(25^{\circ}C\) in \(1\times M.BamHI\) buffer (NEB) supplemented with \(80~\mu \mathrm{M}\) S- adenosylmethionine as a donor of methyl groups (Methods). Further, to check if pre- existing N6A- and C5- methyl groups could modulate the efficiency of N4C methylation, we used as substrates gDNA from five E. coli strains differing by genetic backgrounds with regard to methylation: Rosetta 2(DE3) and BL21(DE3) (both \(dam+\) \(dcm- )\) , derived from E. coli B, and three E. coli K12 derivatives (methyl- positive M28 ( \(dam+\) \(dcm+\) ) and methyl- negative ER2738 ( \(dam- dcm- EcoK1- )\) and ER2925 ( \(dam- dcm- )\) ) (Table S3). After incubation, samples and control DNAs were spotted on two identical membranes and probed with anti- 4mC and anti- 6mA antibodies, respectively; the latter served as an internal control and agreed with expectations from the genetic background of each strain (Fig. 3d; Extended Data Fig. 4e). Interestingly, \(dam+ dcm- E. coli B\) derivatives displayed stronger signal than \(dam- dcm- and dam+ dcm+\) strains, suggesting that pre- existing 6mA marks might facilitate 4mC addition, and that the presence of 5mC in the carbon ring of the cytosine may interfere with 4mC addition at the neigboring amino group. Activity in E. coli strains is summarized in Table S9.
+
+<|ref|>text<|/ref|><|det|>[[112, 710, 865, 877]]<|/det|>
+We also checked N4CMT for in vitro activity on dsDNA substrates (Fig. 3h). The positive control (M.BamHI- methylated pUC19) was readily detected with anti- N4mC antibodies. However, unmethylated pUC19 and pBluescript \(\mathsf{SK}+\) , grown in the dam- dcm- background, acquired only barely detectable 4mC marks upon N4CMT treatment. A more favorable in vitro substrate was N4CMT itself, as inspection of AvL1 PacBio data revealed 4mC marks over its ORF, indicating that it serves as its own substrate in vivo. Indeed, PCR- amplified N4CMT_A and B fragments yielded 4mC signal in vitro, hinting at the possibility of self- regulation in vivo.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[120, 95, 808, 620]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[113, 630, 880, 909]]<|/det|>
+Fig. 3. N4CMT activity and substrate preferences in vivo and in vitro. a, Immuno-dot blot of total DNA extracted from E. coli Rosetta 2(DE3) strain transformed with recombinant N4CMT variants. DNA from non-transformed Rosetta 2(DE3) was used as a control. DNA was extracted after 4 h of IPTG-induced N4CMT expression; 400 ng of each DNA was spotted in one dot. Methyl marks are indicated on the right. b, Methylcytosine-sensitive digestion of E. coli DNA. Total DNA from Rosetta 2(DE3) strain, either transformed with recombinant N4CMTs (as shown on the top) or untransformed, was extracted 4 h post-induction; DNA (6.3 μg) was treated with McrBC. DNA from HepG2 liver cell line (H. sapiens) served as a positive control (500 ng). c, Immuno-dot blot of total E. coli DNA showing the role of the SPPY motif in N4CMT methylation. Same designations as in (A). d, Immuno-dot blot of total E. coli DNA extracted from different strains and treated with N4CMT. Rosetta 2(DE3) and dam-/dcm-, 950 ng per dot; BL21-Al and M28, 500 ng per dot. e, Immuno-dot blot with anti-4mC antibody for sAvL1-451 substrate treated with N4CMT allozymes and their catalytic site mutants in vitro. f, Nucleotide sequence conservation in A. vaga tandem repeats with high density of 4mC modifications. Interspecific conservation was determined from two A. vaga isolates plus the sibling species A. ricciae. Two bottom sequences show inserts m97 and m119 which confer N4CMT substrate properties to the pUC vector; conserved motifs are highlighted in red. g, Diagram of the A. vaga 4mC-rich 460-bp tandem repeat region and its substrate derivatives. Red arrows, modified cytosines. Conserved motifs are in purple. The dsDNA fragments used in activity assays are depicted on the bottom, with pluses and minuses summarizing N4CMT activity on the corresponding substrates. h-i, Immuno-dot blots with anti-4mC antibody for different substrates treated with recombinant
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 875, 150]]<|/det|>
+N4CMT allozymes. N4CNT_A methylation is weak but visible at higher exposures. Positive control, 100 ng M.BamHI-treated pUC19. In (h), 500 ng of each DNA was loaded per dot, except for sAvL1- 30 (6 \(\mu \mathrm{g}\) ). In (i), 1 \(\mu \mathrm{g}\) of pUC19 plasmids (grown in dam- /dcm- E. coli strain) was loaded per dot. Linear dsDNA fragments (sAvL1- 200, sAvL1- 209, sAvL1- 451) were equalized to 600 ng.
+
+<|ref|>text<|/ref|><|det|>[[110, 155, 884, 900]]<|/det|>
+The inability of empty plasmids to serve as efficient substrates may be explained by the lack of cytosines in a rotifer sequence context favored by N4CMT. We performed in vitro assays on the \(\sim 460\) - bp tandem repeat from AvL1 DNA with high density of DNA modifications (see above; Fig. 3f,g), reasoning that it would serve as an efficient substrate in vitro. The PCR primers, spanning 451 bp of the repeat, amplified 1, 2 and 3 repeat units, which were separately used as substrates. We also annealed two complementary oligonucleotides to form a 30- bp dsDNA fragment containing the cytosines modified with 100% efficiency in SMRT- seq data (Fig. 3g; Table S7). The 451- bp fragment indeed served as an efficient substrate in vitro (Fig. 3h,i), although increasing the number of repeat units did not improve methylation efficiency (Extended Data Fig. 4d). However, the short 30- bp fragment failed to yield detectable signal, even when used in large amounts (Fig. 3h). Another short G- rich substrate, made of annealed GT- rich repeat- containing complementary oligonucleotides (Table S7), also failed to acquire 4mC (not shown). In agreement with in vivo results, the SPPY \(\rightarrow\) APPA catalytic mutants were unable to add 4mC to the 451- bp fragment, reconfirming the identity of catalytic residues in vitro and ruling out any co- purifying MTases (Fig. 3e). To test for 6mA addition, we used PCR- generated 405- and 589- bp fragments marked by 6mA in AvL1 SMRT- seq data (Table S7). No 6mA was acquired upon incubation with N4CMT, suggesting that it lacks 6mA MTase activity (not shown). We further dissected the 451- bp fragment into sub- fragments of 127 bp and 357 bp, to check whether they would serve as substrates (Fig. 3g). While the 357- bp fragment was readily modified by N4CMT, the 127- bp fragment was not, perhaps due to minimal length requirements (Extended Data Fig. 4d,e). Alternatively, it may be that N4CMT, which underwent horizontal transfer from a prokaryote relatively recently on an evolutionary time scale in comparison with METTL4- or DNMT- like MTases, retains target specificity in its TRD and prefers one fragment over the other. In support of this idea, we identified a partially homologous 750- bp AvL1 tandem repeat, similarly associated with an Athena retroelement. Aligning it with a 481- bp tandem repeat from another AvL1 contig with high density of modifications, we defined a bipartite motif common to these repeat units (Fig. 3f,g). We further searched Av- ref and the sibling species A. ricciae for sequences homologous to the AvL1 460- bp repeat. In Av- ref, we identified 5 contigs with 174-, 482- and 660- bp tandem repeat units partially homologous to AvL1 repeat, all adjacent to Athena- W1; in A. ricciae, two contigs carried 6 and 11 units of a 490- bp tandem repeat 74% identical to AvL1, with the bipartite motif (Extended Data Fig. 4f).
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 87, 884, 323]]<|/det|>
+Dividing the 451- bp fragment into two approximately equal parts (200 and 209 bp) yielded no detectable signals (Fig. 3,i), possibly due to insufficient fragment size. Since the positive sAvL1- 357 bp fragment contains only one part of the bipartite motif, we tested a similarly sized PCR fragment (sAvL1- 371 on Fig. 3g) containing the other part of the motif. However, it was not methylated by N4CMT, suggesting that this part is not essential in vitro (Extended Data Fig. 4e), although it may play a role in vivo. Most importantly, insertion of short 97- bp or 119- bp fragments with the bipartite motif (Fig. 3f,g) into pUC19, initially unable to act as a substrate, converted it into an efficient in vitro substrate (Fig. 3,i). Thus, an MTase of bacterial origin shows preference for certain recognition sequences, which might have served as targets in the distant evolutionary past.
+
+<|ref|>text<|/ref|><|det|>[[111, 339, 883, 888]]<|/det|>
+Base modifications and histone modifications. In the context of eukaryotic chromosomal DNA environment in A. vaga, any intrinsic target preferences of N4CMT manifested in vitro, while apparently yielding higher 4mC densities in a subset of tandem repeats, should not necessarily be required for 4mC deposition in other genomic regions, which may instead be facilitated by the N4CMT C- terminal chromodomain of the chromobox type (CBX) \(^{32}\) . CBX is expected to recognize methylated lysine residues K9 and K27, the best- studied heterochromatic marks embedded in the ARKS motif at the N- terminus of histone H3, which are typically associated with transcriptionally silent chromatin and frequently overlap, both in terms of antibody cross- reactivity and similar function in TE repression \(^{42 - 45}\) . To associate DNA methylation marks with specific histone modifications, we performed chromatin immunoprecipitation followed by deep sequencing (ChIP- seq) on A. vaga chromatin with anti- H3K9me3 and anti- H3K27me3 antibodies (Methods). For contrasting comparison with active chromatin, we used the anti- H3K4me3 antibody, which recognizes the histone modification typically associated with active transcription start (TS) sites \(^{42,46}\) . After validating the antibodies by immuno- dot- blotting (Methods), we profiled the distribution of these three H3 modifications in Av- ref and AvL1 by ChIP- seq. We found that H3K9me3, a mark for constitutive heterochromatin, often co- localizes with H3K27me3 known to characterize facultative heterochromatin, but not with H3K4me3, which marks active genes (Table S10). As expected, host genes display significant H3K4me3 enrichment, which typically covers 1- 2 kb around the TS and shows a characteristic bimodal peak in both strains (Fig. 4a,c top). In contrast, H3K9me3 and H3K27me3 enrichment is observed mostly over TEs and covers the entire TE body, often extending upstream and downstream from a TE insertion, which may be indicative of spreading (Fig. 4b,d top).
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[115, 80, 840, 670]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[113, 682, 879, 901]]<|/det|>
+Fig. 4. Base modifications and histone modifications in A. vaga strains Av-ref (a, b, e) and AvL1 (c, d, f). a, c, Profiles and heatmaps for gene regions with transcription start (TS) and transcription termination (TT) sites. Profiles (top) show relative fold enrichment of H3K4me3, H3K9me3 and H3K27me3. Heatmaps (bottom) represent H3K4me3, H3K9me3 and H3K27me2 ChIP-seq reads, where each row corresponds to gene regions with \(\pm 3\) kb from TS and TT boundaries. b, d, Profiles and heatmaps for TE annotations delimited by 5' and 3' boundaries. Profiles (top) show relative fold enrichment of H3K4me3, H3K9me3 and H3K27me3. Heatmaps (bottom) represent H3K4me3, H3K9me3 and H3K27me2 ChIP-seq reads, where each row corresponds to \(\pm 3\) kb from 5' or 3' TE boundary. e, f, Intersection of 4mC and 6mA DIP-seq peaks with ChIP-seq peaks for histone modification marks. Profiles of 4mC and 6mA peaks intersecting with H3K4me3, H3K9me3 and H3K27me3 modification tags are shown for Av-ref (e) and AvL1 (f). The signal is shown over a scaled window \(\pm 3\) kb from the peak; Y-axis, relative fold enrichment. Asterisk in (e) denotes artefactual signal from 9 contigs with anomalous coverage. g, DNA base methylation counts near histone marks. Y-axis, mean number of counts (SMRT-seq 4mC and 6mA) detected at H3K4me3, H3K9me3 and H3K27me3 ChIP-seq peaks. Counts are taken around each peak in a \(\pm 500\) bp window. h, Circos plot illustrating DIP/ChIP peaks, methylation sites,
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 88, 879, 150]]<|/det|>
+sequencing read coverage and gene/TE annotations in selected Av- ref and AvL1 contigs. Features are explained in the key; source details are in Methods. SMRT- seq DNA methylation marks are shown within the PacBio layer in AvL1 for 4mC (blue triangle) and 6mA (red square). Mark height in the ring shows methylation fraction (0 to 1). Green line, RNA- seq coverage; purple line, small RNA coverage in Av- ref.
+
+<|ref|>text<|/ref|><|det|>[[111, 155, 886, 438]]<|/det|>
+To explore association of 4mC and 6mA with active or repressive histone marks, we used ChIP- seq data for the euchromatic mark (H3K4me3) and two heterochromatic marks (H3K9me3 and H3K27me3) as a proxy for active and silent chromatin, respectively. The relatively low resolution of DIP- seq precludes genome- wide extrapolations in Av- ref, allowing only initial comparisons. For 6mA- DIP- seq peaks, \(13.6\%\) intersected with regions bearing euchromatic histone modifications (H3K4me3), while only \(4.4\%\) overlapped with heterochromatic histone modifications (H3K9me3 and H3K27me3 combined). For 4mC- DIP- seq peaks, \(6.5\%\) intersected with regions bearing heterochromatic histone modifications (H3K9me3 and H3K27me3), but only a minor fraction \((1.5\%)\) overlapped with H3K4- marked regions. Following normalization and aggregation of aligned reads in ChIP- seq datasets, the analysis reveals that DIP- seq peaks (4mC and 6mA) show pronounced superposition with the boundaries of H3K9me3 and H3K27me3 covered regions, however little if any overlap is seen with H3K4me3 (Fig. 4e).
+
+<|ref|>text<|/ref|><|det|>[[110, 440, 872, 893]]<|/det|>
+In AvL1, for 4mC- DIP- seq peaks, \(42.3\%\) intersected with regions bearing heterochromatic histone modifications (H3K9me3 and H3K27me3 combined), but only \(6.6\%\) overlapped with H3K4me3- marked regions. Similarly, for 6mA- DIP- seq peaks, \(42.9\%\) overlapped with heterochromatic histone modifications (H3K9me3 and H3K27me3 combined), but only \(6.3\%\) intersected with regions bearing euchromatic H3K4me3 modifications. After normalization of aligned reads in the ChIP- seq dataset, we confirmed that DIP- seq peaks (4mC and 6mA) are strongly correlated with H3K9me3 and H3K27me3 heterochromatic peaks (Fig. 4f). Although initial analysis yielded some correlation of H3K4me3 reads with DIP- seq peaks, after cluster analysis (deepTools option - kmeans with - outFileSortedRegions) we found that the signal originates from only 9 contigs, is not correlated with H3K4me3 peaks called by MACS2, and likely stems from atypically high coverage in H3K4me3 reads. As seen in plotted examples for three of these contigs, no H3K4 methylation marks are visible (As1882 and As785, Extended Data Fig. 3a), at least in the vicinity of DIP- seq marked regions (As1218, Fig. 4h). Thus, the presence of DNA methyl marks is preferentially associated with silent chromatin in both strains. A similar pattern is observed in AvL1 PacBio SMRT analysis, where the 4mC and 6mA marks are more frequently associated with inactive chromatin domains marked by H3K9me3 and especially H3K27me3 (Fig. 4g). On balance, these results support the view that, in addition to any intrinsic target specificity of N4CMT, its action in the genome may be directed by the CBX moiety, targeting MTase activity to chromatin regions with repressive histone marks.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[110, 87, 880, 468]]<|/det|>
+Methylomes, transcriptomes and small RNAs in the chromatin context. To associate histone marks with transcriptionally active or repressed genes in A. vaga, we plotted our RNA- seq data for genes co- localizing with either active or repressive H3Kme3 histone marks (Methods). As expected, genes near H3K4me3 have significantly higher RPKM (reads per kilobase of transcript per million mapped reads) values (ANOVA p- val <0.01) than genes with heterochromatic histone marks (H3K9me3, H3K27me3) or no marks (Fig. 5a). AvL1 displays the same pattern (Extended Data Fig. 6a). Further, tentative designation of 6mA modification as an active epigenetic mark \(^{9,10}\) prompted us to explore its correlation with gene transcription. The A. vaga gene dataset, after removing TE- derived genes, was divided into two groups, with and without presence of 6mA peaks within a window size of \(\pm 500\) bp of each gene ID, and RPKM values were counted in both groups. We found that genes with 6mA depositions tend to have higher RPKM than genes without 6mA (t- test p- val: 2.2E- 16, Fig. 5b bottom). For 4mC modifications, no significant differences in gene expression were seen between genes with or without 4mC marks (Fig. 5b top). A detailed analysis of 6mA distribution in genes and their promoters, which shows that only a subset of genes is affected, and rules out contribution of \(\mathrm{m^6A}\) in RNA, is given in the Supplementary Note.
+
+<|ref|>text<|/ref|><|det|>[[112, 472, 881, 730]]<|/det|>
+A different picture was observed for TEs. The exceptionally low TE content and diversified small RNA (sRNA) silencing machinery in bdelloids, averaging 20 Piwi/Ago and 30 RdRP variants, implies tight controls on TE proliferation via efficient silencing \(^{16,47}\) . In A. vaga, virtually every active TE family displays coverage by pi- like RNAs, which is correlated with low transcriptional activity \(^{48}\) . We examined association of transcript levels of TE- related genes with DIP- seq peaks (Methods). While TE- related genes with or without 6mA did not show much difference in RPKM values, TE- related genes with 4mC marks showed a significant decrease when compared to those without 4mC (t- test p- val: 6.8E- 8, Fig. 5c, top). Thus, in expressed TEs 4mC may be regarded as a repressive mark. Note that co- localization of 4mC and 6mA is compatible with repression, as 6mA is involved in an adversarial network preserving Polycomb silencing \(^{22}\) .
+
+<|ref|>text<|/ref|><|det|>[[112, 734, 884, 899]]<|/det|>
+A significant overlap between TEs and heterochromatin, defined by H3K9me3 and H3K27me3 depositions (Fig. 4b,d), is paralleled by an overlap between TEs and sRNAs aligned to Av- ref (Fig. 5d; Methods). We analyzed sRNA association with histone marks and with 4mC/6mA DIP- seq peaks. Relative fold excess of sRNA is evident at heterochromatic H3K9me3 and H3K27me3 peaks and extends into nearby regions; in contrast, sRNA enrichment is low within H3K4me3 peaks, which mark active genes (Fig. 5e). Comparison of sRNA vs DIP- seq peaks for 4mC/6mA shows enrichment within DIP- seq peaks, with 4mC peaks having higher
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 875, 300]]<|/det|>
+relative fold enrichment than 6mA (Fig. 5f). To estimate the proportion of DIP-seq peaks contributing to each sRNA profile, we clusterized the peaks with the k-means algorithm, sorting by sRNA coverage (deepTools option --kmeans --outFileSortedRegions), which showed that \(\sim 25\%\) and \(\sim 15\%\) of 4mC and 6mA peaks, respectively, display small RNA enrichment. The overlap between sRNA and DIP-seq peaks is localized to the peak area, while sRNA enrichment at heterochromatic ChIP-seq peaks extends further into adjacent sequences, which may indicate spreading. Although the exact pathways linking piRNAs to histone and DNA methylation layers remain to be defined, the highly diversified PIWI proteins may serve as connectors to both layers.
+
+<|ref|>image<|/ref|><|det|>[[133, 322, 864, 884]]<|/det|>
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 90, 881, 280]]<|/det|>
+Fig. 5. Association of transcript and small RNA levels with histone and DNA methylation. a, Box plot showing Av- ref gene expression levels (log2RPKM) associated with co- localized H3K4me3, H3K9me3, H3K27me3, and both H3K9- 27me3 marks or without histone marks. ANOVA analysis shows significant differences in expression, with genes associated with the H3K4me3 mark displaying the highest RPKM (reads per kilobase per million mapped reads). b- c, RPKM values associated with DIP- seq 4mC and 6mA base modifications in A. vaga. TE genes (C) are derived from Av- ref automated gene models after positively intersecting with TE annotations. Box represents the first and third quartiles; line, the median. The p- values were calculated by a two- tailed Student's t- test, with asterisks indicating significant differences. d- f, Distribution of sRNA with respect to genes and TEs (d), H3K4, H3K9, H3K27 ChIP- seq peaks (e), and IP4mC, IP6mA DIP- seq peaks (f). Relative fold enrichment is shown as reads per genomic context (RPGC normalization). In gene and TE profiles, regions in the map comprise gene bodies (5 for TS and 3 for TT) or TE bodies (5 for the 5'- boundary and 3 for the 3'- boundary) with \(\pm 3\) kb flanks. Peak profiles are represented by peak body flanked by \(\pm 3\) kb.
+
+<|ref|>text<|/ref|><|det|>[[112, 291, 879, 720]]<|/det|>
+Interpreting the 4mC marks. To identify possible readers of bacterial marks, we searched for candidate proteins capable of discriminating between methylated and unmethylated cytosines. All known DNA methyl groups protrude from the major groove of the B- form double helix and can be recognized as epigenetic marks. In eukaryotes, several protein domains can read 5mC (SRA/SAD/YDG; MBD/TAM; Kaiso) or 6mA (HARE- HTH; RAMA) modifications \(^{6,12}\) , usually in a favored sequence context. We used profile HMM searches to detect candidate methyl readers in Adineta genomes. No homologs were found for the SAD_SRA domain (PF02182), which recognizes hemi- methylated CpGs by embracing DNA and flipping out the methylated cytosine \(^{49}\) . However, we saw drastic expansion of MBD/TAM- containing proteins, which do not require base- flipping: a total of 14 different alleles (originating from three quartets, Q1- Q3, plus a segmental duplication) encode 7 major SETDB1 variants, as opposed to only one in monogonont rotifers or other invertebrates (Fig. 6a,b; Extended Data Fig. 8a; Supplementary Data File S2). These proteins share the same domain architecture, with the MBD sandwiched between the N- terminal triple- Tudor domains and the C- terminal pre- SET/ SET/post- SET domains, present in all SETDB1/eggless- like H3K9me3 histone lysine MTases (KMTs) (Fig. 6a). All seven proteins are transcribed in each Adineta spp. (data not shown). Additional MBD/TAM domains of BAZ2A/TIP5- like remodelers, which form heterochromatin on rDNA and satellites \(^{50}\) , comprise only one A. vaga quartet (Extended Data Fig. 8c; Supplementary Data S3).
+
+<|ref|>text<|/ref|><|det|>[[112, 723, 877, 909]]<|/det|>
+To find out whether other KMTs are similarly expanded, we performed an inventory of SET domain- containing proteins in A. vaga, especially those known to methylate H3K9/H3K27 (Supplementary Data File S3). In addition to seven pairs of SETDB1 homologs acting on H3K9, we detected two quartets of E(z)/EZH/mes- 2- like orthologs (KOG1079, Transcriptional repressor Ezh1), which are known to methylate H3K27. More distantly related SET- domain proteins showed domain architectures characteristic of H3K4, H3K36 and H4K20 KMTs (Trx- G/Ash1/ Set1/ MLL, SETD2, SETD8) and comprised either a quartet or a pair. Interestingly, we found six stand- alone SET- domain homology regions resembling H3K4/H3K36 KMTs
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 87, 879, 300]]<|/det|>
+(PRDM9/7/set- 17), which were not predicted in the annotated gene set, were not transcribed, and lacked additional domains (KRAB_A- box, SSXRD) characteristic of PRDM9/7 proteins involved in localizing meiotic recombination hotspots and in male- specific expression \(^{51,52}\) . Unexpectedly, we failed to identify two known KMT types acting on H3K9 or K9/K27: Su(var)3- 9/SUV39H1/set- 25/Clr4, a "histone read- write" architecture consisting of chromo- and SET- domains, which is important for constitutive heterochromatin formation \(^{53}\) ; and G9a/EHMT2/KMT1C (ankyrin repeats plus SET), which initiates de novo methylation and silencing of repeats and developmentally regulated genes \(^{54,55}\) . These domain architectures may have been lost and/or replaced by expanded SETDB1- like variants.
+
+<|ref|>text<|/ref|><|det|>[[111, 304, 884, 589]]<|/det|>
+We next sought to determine whether SETDB1 is similarly amplified in all bdelloids. Six species in the genus Rotaria from the family Philodinidae \(^{18}\) possess the same seven variants as do Adinetidae, indicating that SETDB1 amplification occurred prior to divergence of the major bdelloid families (Fig. 6b). An unusual SETDB1 divergence pattern is seen in the bdelloid Didymodactylos carnosus, which forms the deepest- branching sister clade to other known bdelloids \(^{47}\) and lacks N4CMT. While in three cases Dcar_SETDB1 forms sister clades to variants from other bdelloids, preceding quartet formation, the Q1 quartet lacks Dcar_SETDB1 homologs, and an ortholog of Av_s314 shows a clear evidence of loss, detected as a small 170- aa C- terminal fragment (Supplementary Data File 3). This natural gene knockout is associated with an increase in LINE elements to the levels seen in monogononts, and agrees well with high concentration of 4mC observed over LINEs (Extended Data Fig. 7), but is not correlated with high copy number of Ago/Piwi proteins (Fig. 6c) \(^{47}\) .
+
+<|ref|>text<|/ref|><|det|>[[111, 592, 880, 875]]<|/det|>
+The presence of SETDB1 orthologs in species lacking 5mC, such as D. melanogaster and C. elegans, questioned the role of MBD as a universal discriminator of 5mC marks in DNA \(^{6}\) . Notably, the structure of human MBD1 shows its unique potential for recognizing 5mC in the major groove without encircling DNA, which makes MBD an ideal candidate for interacting with nucleosome- bound DNA without interference from core histones \(^{56,57}\) . Moreover, three of the seven SETDB1- like variants in bdelloids display two conserved arginine residues in the MBD involved in recognition of cytosines in the DNA backbone, potentially accounting for CpG preference (Extended Data Fig. 8a,b). However, they show extensive variation in the length of the antiparallel \(\beta 1 - \beta 2\) loop, which reaches across the major groove and interacts with one of the methyl groups. Since the overall structure is compatible with recognition of an asymmetrical DNA methyl group in the nucleosomal context, we sought to find out whether some of the seven SETDB1 variants may have adapted to recognizing a novel methyl mark in the major groove.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[123, 88, 876, 655]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[113, 666, 880, 900]]<|/det|>
+Fig. 6. Amplification of SETDB1 histone methyltransferases and preference for 4mC-methylated DNA. a, Domain architecture of bdelloid SETDB1 proteins. Square bracket marks cloned MBD domains; aa numbering is for Av_s314. b, Unrooted maximum likelihood phylogram of SETDB1 variants in bdelloids (blue), monogononts (green) and acanthocephalan (olive). Q1-Q3, quartets of homeologs formed by paleotetraploidy. Bottom clades include single copy SETDB1 in 3 protostome phyla. See Supplementary Data File 2 for aa sequences. Scale bar, aa substitutions per site. c, LINE retrotransposon content (% genome) and Piwi/Ago copy numbers in 6 monogonont (green) and 10 bdelloid (blue) species (Table S2). Standard deviation (% LINE) and copy counts are given for sequenced isolates (numbers in parentheses). d, Affinity of AvMBD for 4mC-methylated DNA in electrophoretic mobility shift assays. EMSA was performed using 0.05 nM \(^{32}\)P-labeled sAvL1-451 DNA and 3.75 nM AvMBD_s314 protein. Unmethylated and 4mC-methylated by N4CMT_B sAvL1-451 fragments were used as competitor DNA. e, AvMBD_s314 DNA binding preference for methylated DNA. Y-axis, per cent unbound \(^{32}\)P-labeled sAvL1-451 DNA for 3.75 nM AvMBD_s314 in the presence of unmethylated and 4mC-methylated sAvL1-451 competitor DNA (n=2, mean±SD). Asterisks, p<0.05. f, A simplified model of the self-reinforcing regulatory loop based on the ability of N4CMT and SETDB1 to cross-recognize methyl marks on histones (circle) and DNA (square), respectively. Shown are the relevant conserved
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[113, 89, 874, 152]]<|/det|>
+proteins/domains described in the text; shadows, multiple copies. Hypothetical pathways from piRNAs/ Piwi (dashed lines) are not defined. [X] and [?] are putative mediator complexes with poorly conserved components, of which only Nxt1 is identifiable in A. vaga (see Discussion); HP1 and KDM4 are well- conserved. Components involved in other types of histone/DNA modification are not shown for simplicity.
+
+<|ref|>text<|/ref|><|det|>[[111, 155, 884, 755]]<|/det|>
+To this end, we synthesized seven recombinant plasmids carrying tagged versions of the corresponding MBD/TAM domains (Extended Data Fig. 9a). We tested these proteins in electrophoretic mobility shift assays (EMSA) with the 451- bp repeat fragment (sAvL1- 451, see above), which was either unmethylated or 4mC- methylated by N4CMT in vitro, to ensure sufficient methylation density and favorable position of methyl marks. As MBD/TAM is a generic DNA- binding domain, most AvMBD's are capable of binding both unmethylated and methylated DNA fragments (Extended Data Fig. 9b,c). We chose AvMBD_s314 to test its binding preferences for 4mC- methylated DNA, since the loss of its ortholog in D. carnosus is associated with a notable increase in LINE retrotransposon content \(^{47}\) . We tested four AvMBD_s314 concentrations (2.38 nM, 3.23 nM, 3.75 nM, 4.14 nM) in EMSA with \(^{32}\) P- labeled sAvL1- 451 and four concentrations of the unlabeled sAvL1- 451 competitor, which was either unmethylated or 4mC- methylated by N4CMT_B in vitro. This approach provides a more adequate comparison than measurement of dissociation constants (Kd) for two labeled probes, as in vitro methylation is variably efficient. We observed a clear preference of s314 for binding 4mC- methylated DNA, with \(p< 0.05\) in a one- tailed Student's t- test in four independent experiments, when using \(>10x\) excess of non- labeled competing methylated or unmethylated DNA ( \(p = 0.044\) for \(40x\) ; \(p = 0.018\) for \(100x\) ). Fig. 6d shows a representative EMSA gel for the 3.75 nM s314 protein concentration, which yielded \(88.3\%\) protein- bound DNA with \(0.05\) nM \(^{32}\) P- labeled sAvL1- 451 fragment. This protein concentration was tested twice, and the average change in the amount of unbound DNA over increasing concentrations of unlabeled competitor DNA is shown in Fig. 6e, demonstrating that upon increase of competitor concentration, the shift from DNA- protein complex to unbound DNA occurs faster for 4mC- modified DNA than for unmethylated DNA. While other SETDB1 version(s) may be similarly adapted to prefer 4mC, they could also form alternative connections with multiple variants of bdelloid Piwi/Ago proteins, which would be interesting to explore in further studies.
+
+<|ref|>sub_title<|/ref|><|det|>[[115, 783, 214, 800]]<|/det|>
+## Discussion
+
+<|ref|>text<|/ref|><|det|>[[115, 806, 880, 896]]<|/det|>
+Here we report the first case of 4mC occurrence in eukaryotic DNA, expanding the repertoire of methylated bases in Metazoa with a modification known so far only in bacteria. We confirm its presence in bdelloid rotifers by combining multiple lines of investigation, and accounting for artefacts inherent to each modification detection method \(^{36,58,59}\) and for bacterial contaminations.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 87, 881, 468]]<|/det|>
+In agreement with the absence of Dnmt1/Dnmt3- like MTases, we failed to detect 5mC in bdelloids, while 4mC and 6mA are readily detectable by orthogonal methods. We identified N4CMT, a horizontally transferred enzyme of bacterial origin, as responsible for addition of the characteristically bacterial 4mC marks to DNA. Expression of recombinant N4CMT in E. coli results in 4mC addition, as follows from immuno- dot- blot analysis and methyl- sensitive digests of DNA from N4CMT- expressing bacteria vs. methyl- free strains. Not surprisingly, the chromodomain moiety is not required for 4mC deposition either onto bacterial DNA in vivo, which is not packaged into chromatin, or onto preferred DNA substrates by recombinant N4CMT in vitro. However, in the context of eukaryotic chromatin, ChIP- seq and DIP- seq peak distributions reveal strong correlations between silent H3K9/27me3 chromatin marks and DNA methyl marks. Thus, N4CMT may contribute to epigenetic homeostasis, whereby deposition of repressive chromatin marks is ensured by passive preservation of 4mC marks via covalent linkage to DNA in the absence of active enzymatic demethylation, helping to maintain TE repression in eggs and whole animals. Over- representation of 4mC at the 5' TE boundaries near TE promoter regions may affect transcription factor binding near promoters and cause transcriptional interference, as previously seen for 5mC \(^{60}\) .
+
+<|ref|>text<|/ref|><|det|>[[111, 472, 881, 899]]<|/det|>
+While the lack of candidate 4mC erasers supports 4mC role in maintaining TE silencing, other important components of epigenetic systems are the reader proteins, which could interpret the 4mC mark to form a regulatory loop, as is the case for 5mC and 6mA \(^{61}\) . The N4CMT architecture is somewhat reminiscent of plant chromomethylases (CMT), "histone- read- DNA- write" enzymes with a C5- MTase- embedded chromodomain, which reads H3K9me marks and deposits similar marks at nearby non- CG's. Together with another domain configuration, "DNA- read- histone- write" provided by KYP, an H3K9- KMT with the 5mC SRA reader domain, the CMT3- KYP pair forms a mutually reinforcing loop reading each other's epigenetic marks \(^{61}\) . The crosstalk between mCpG and H3K9me in animals and plants is even more complex, requiring multiple protein factors \(^{5}\) . In N4CMT, a very simple "histone- read- DNA- write" architecture, with the chromodomain reading the repressive H3K9/27me3 marks and MTase writing the atypical 4mC marks onto DNA in the absence of an eraser, links histone and DNA layers through a reinforcement loop which feeds back onto silent chromatin via "DNA- read- histone- write" SETDB1- like KMTs to help maintain repressive marks on histone tails throughout cell divisions for continuous TE silencing (Fig. 6f). Association of 4mC with full- length TEs capable of transcription, as well as the overlapping 4mC and sRNA distribution patterns, further suggest that the loop is triggered by pi- like RNAs from transcribed TEs, which can initiate transcriptional silencing on nascent RNAs via Piwi and perhaps SFiNx- like protein complexes \(^{62 - 64}\) , or may
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 87, 881, 252]]<|/det|>
+directly affect methylation, as in mice \(^{65}\) . In this scenario, epigenetic inheritance relies on overriding the normally occurring H3K9me erasure by KDM4/JMJD2 \(^{66}\) , which is present in A. vaga. Our finding that an amplified A. vaga SETDB1- like variant, also present in other bdelloids, shows preference for binding 4mC- methylated DNA in vitro suggests that 4mC deposition stimulates more efficient binding of SETDB1 in the nucleosomal context, linking 4mC deposition by N4CMT to the re- establishment of H3K9 methylation that helps to preserve silent chromatin marks on TEs and other repeats.
+
+<|ref|>text<|/ref|><|det|>[[111, 255, 884, 660]]<|/det|>
+Notably, bdelloids exhibit some of the lowest TE content among metazoans, while members of their sister class Monogononta, which lack cytosine methylation and encode a single SETDB1 copy, show reduced ability to contain TE proliferation, which can double their genome size \(^{67}\) . Earlier, we found a drastic expansion of Ago/Piwi and RdRP proteins in bdelloids, which are very TE- poor, in contrast to the acanthocephalan Pomphorhynchus laevis (Rotifera) with \(66\%\) TE content and no expansion of Ago/Piwi \(^{16,47}\) , underscoring the importance of RNA silencing pathways in TE control. Notably, the bdelloid D. carnosus, despite Ago/Piwi expansion, does not show the dearth of retrotransposons typical of other bdelloids, displaying an elevated content of LINE elements matching that of Brachionus and shifting the average bdelloid LINE content upwards \(^{47}\) . Here, we find that D. carnosus lacks both N4CMT and the two SETDB1 variants which may have evolved to interact with the 4mC mark, suggesting that the genome defense system in D. carnosus is missing an important layer that prevents TE expansion. Elevated LINE content in this natural knock- out of the 4mC- preferring KMT variant highlights the importance of cross- talk between two genome defense layers for efficient TE control, as Adineta and Rotaria during their evolutionary history experienced a strong decrease in retrotransposon content (see Fig S3 c,h,i in \(^{47}\) ), which coincided with the emergence of N4CMT and the 4mC- binding SETDB1 variant.
+
+<|ref|>text<|/ref|><|det|>[[112, 664, 866, 899]]<|/det|>
+Collectively, our findings help to unravel a fascinating evolutionary puzzle: How can a bacterial enzyme decorating DNA with non- metazoan modifications penetrate eukaryotic gene regulatory networks and become preserved by natural selection for tens of millions of years? Given the importance of similar processes at the dawn of eukaryotic evolution, when MTases were recruited to create the extant epigenetic systems, the bdelloid case spans a unique time interval in the evolutionary history, when its advantages have been fully manifested and validated by natural selection, but its resemblance to bacterial counterparts has not yet been completely erased. Losses of DNA methylation have occurred multiple times throughout the eukaryotic tree of life; however, de novo recruitment of a bacterial mark into an existing epigenetic system has not been observed in more recent metazoan history. A synthetic “DNA
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 87, 872, 275]]<|/det|>
+read- write" 6mA system in cultured human cells, based on \(E\) . coli Dam MTase and bypassing chromatin states through artificial targeting, has been created \(^{68}\) , however such a "shortcut" would be unlikely to persist in living species over evolutionary time scales. Our system helps to discern selectively advantageous features in epigenetic control systems and emphasizes that addition of a DNA epigenetic layer to the histone layer demands enhanced inter- connection of components between layers for efficient operation. Finally, it demonstrates that horizontally transferred genes, contrary to the established view \(^{69,70}\) , can re- shape complex eukaryotic regulatory networks and can drive major evolutionary innovations in eukaryotes.
+
+<|ref|>text<|/ref|><|det|>[[149, 280, 671, 300]]<|/det|>
+Additional discussion can be found in Supplementary Discussion.
+
+<|ref|>text<|/ref|><|det|>[[113, 313, 863, 380]]<|/det|>
+Online content. Any methods, additional references, Nature Research reporting summaries, source data, statements of data and code availability, and associated accession numbers are available online.
+
+<|ref|>text<|/ref|><|det|>[[113, 394, 875, 462]]<|/det|>
+Acknowledgments. We thank Dr. Iain Murray (NEB) for the kind gift of anti- 4mC and anti- 6mA antibodies. This work was supported by R01GM11917 from the U.S. National Institutes of Health to I.A.
+
+<|ref|>text<|/ref|><|det|>[[112, 477, 877, 592]]<|/det|>
+Author contributions. FR was responsible for high- throughput genomic and transcriptomic data generation and analysis. IY performed protein expression, purification, and biochemical characterization. DD conducted pilot experiments at early stages of this work. IA conceived and designed the project, analyzed the data, and drafted the manuscript. All authors contributed to writing and editing the final version.
+
+<|ref|>text<|/ref|><|det|>[[113, 608, 643, 627]]<|/det|>
+Ethics declarations. The authors declare no competing interests.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[113, 90, 486, 108]]<|/det|>
+## List of Supplementary Tables and Datasets
+
+<|ref|>text<|/ref|><|det|>[[111, 112, 720, 131]]<|/det|>
+Table S1. Comparison of N6A methylation in A. vaga and other eukaryotes.
+
+<|ref|>text<|/ref|><|det|>[[113, 136, 787, 156]]<|/det|>
+Table S2. Putative amino- MTase and demethylase orthologs in the phylum Rotifera.
+
+<|ref|>text<|/ref|><|det|>[[113, 160, 420, 178]]<|/det|>
+Table S3. Properties of E. coli strains.
+
+<|ref|>text<|/ref|><|det|>[[113, 184, 831, 226]]<|/det|>
+Table S4. Genometric correlations between DIP- seq methylation marks and gene and TE annotations in Av- ref and AvL1 assemblies.
+
+<|ref|>text<|/ref|><|det|>[[113, 231, 588, 250]]<|/det|>
+Table S5. Genome assembly and gene annotation metrics.
+
+<|ref|>text<|/ref|><|det|>[[113, 255, 515, 274]]<|/det|>
+Table S6. SMRT- seq base modification detection.
+
+<|ref|>text<|/ref|><|det|>[[113, 280, 444, 298]]<|/det|>
+Table S7. Primers and oligonucleotides.
+
+<|ref|>text<|/ref|><|det|>[[113, 304, 441, 322]]<|/det|>
+Table S8. N4CMT recombinant proteins.
+
+<|ref|>text<|/ref|><|det|>[[113, 327, 618, 346]]<|/det|>
+Table S9. Summary of N4CMT action on E. coli genomic DNA.
+
+<|ref|>text<|/ref|><|det|>[[113, 351, 872, 394]]<|/det|>
+Table S10. Summary of ChIP- seq peaks identified by MACS2 (diagonal values) and overlap of peaks within Av- ref and AvL1 assemblies.
+
+<|ref|>text<|/ref|><|det|>[[113, 399, 814, 419]]<|/det|>
+Table S11. Gene ontology analysis of methylated and unmethylated genes (.XLSX file).
+
+<|ref|>text<|/ref|><|det|>[[113, 423, 850, 444]]<|/det|>
+All methylated (AvL1 with 6mA SMRT- seq signature at TS and homologous genes in Av- ref)
+
+<|ref|>text<|/ref|><|det|>[[113, 448, 848, 468]]<|/det|>
+and unmethylated genes are categorized by molecular function based on GO_slim ontology
+
+<|ref|>text<|/ref|><|det|>[[113, 472, 846, 492]]<|/det|>
+annotation. Gene counts and percentages for each category are shown for Av- ref and AvL1
+
+<|ref|>text<|/ref|><|det|>[[113, 496, 800, 516]]<|/det|>
+strains. Asterisks represent significant differences in the counts of categories between
+
+<|ref|>text<|/ref|><|det|>[[113, 520, 575, 540]]<|/det|>
+methylated and unmethylated genes (Fisher's exact test).
+
+<|ref|>text<|/ref|><|det|>[[113, 545, 598, 564]]<|/det|>
+Table S12. Methylation analysis in under- annotated regions.
+
+<|ref|>text<|/ref|><|det|>[[113, 568, 777, 588]]<|/det|>
+Genome regions showing significant methylation density for 4mC and/or 6mA base
+
+<|ref|>text<|/ref|><|det|>[[113, 593, 705, 612]]<|/det|>
+modifications but no ab initio annotations for gene models or transposons.
+
+<|ref|>text<|/ref|><|det|>[[113, 640, 877, 707]]<|/det|>
+Supplementary Data File S1. Amino acid sequences of bdelloid N4CMT and Type II subtype \(\beta\) bacterial methyltransferases, with accession numbers from Genbank or REBASE (.fasta format).
+
+<|ref|>text<|/ref|><|det|>[[113, 710, 846, 777]]<|/det|>
+Supplementary Data File S2. Amino acid sequences of SETDB1 proteins from the phylum Rotifera and three representative protostome phyla, with accession numbers from Genbank (.fasta format).
+
+<|ref|>text<|/ref|><|det|>[[113, 782, 848, 826]]<|/det|>
+Supplementary Data File S3. MBD- and SET- domain containing proteins in A. vaga Av- ref, with scaffold numbers from Genbank and protein IDs from Genoscope (.fasta format).
+
+<|ref|>text<|/ref|><|det|>[[113, 830, 848, 874]]<|/det|>
+Supplementary Data File S4. Contigs with residual bacterial sequence joined to AvL1 DNA (.gff format).
+
+<--- Page Split --->
+<|ref|>table_caption<|/ref|><|det|>[[65, 91, 718, 105]]<|/det|>
+809 Table S1. Comparison of N6A methylation in A. vaga and other eukaryotes.
+
+<|ref|>table<|/ref|><|det|>[[47, 119, 958, 540]]<|/det|>
+
+| Phylum | Species | % 6mA/A | Symmetry | Motifs | Enzymes | Feature | Transcripts | Methods | References |
| Rotifera | Adineta vaga | 0.024 | no | AGG,GAA | METTL4? | genes, TE | active | SMRT,IP | This study |
| Ciliates | Tetrahymena thermophila | 0.4-0.8 | yes (part) ss, ds | AT GATC | TAMT1 | Gene body, linker+1+2 | Activate, weak corr. | SMRT | 71 19 |
| Oxytricha nova | 0.71-1.04 | | AT | MTA1 | linker | mix up/dwn | MS,SMRT | 72 |
| Plants | Chlamydomonas | 0.3-0.5 | | AT | | TS | Activate | IP,RE,exo | 73 |
| Arabidopsis | .006-0.138 | no | AGA,ACC | | Genes, TE | gen↑,TE↓ | MS,SM,IP | 74 |
| Oryza sativa | 0.2 | no | GAGG | Ddm1 AlkB | Low at TS, up at TT | prom silent body active | IP,MS, SMRT | 75 76 |
| Oomycetes | Phytophthora | 0.04-0.05 | | AT | DAMT2a | TS bi,TE | Lowly exp. | IP,MS | 24 |
| Fungi | Early-DF | 0.2-2.8 | yes | AT | PF02384b | genes | active | SM,IP,MS | 77 |
| Dikarya | 0.048-0.21 | no | AV | | | | SMRT | 77 |
| Ctenophora | Mnemiopsis | 0.01-0.025 | n/a | | METTL4 | | | ELISA | 78 |
| Ecdysozoa | Caenorhabditis elegans | 0.01-0.4 | no | AGAA GAGG | DAMT1 AlkB | | | SMRT,MS, IP | 21 |
| Drosophila | 0.001-0.07 | n/a | | Tet/AlkB | TE | silence | MS,IP | 79 |
| Aedes aegypti | 0.00001 | n/a | | METTL4 Tet | | | | 80 |
| Bombyx mori | | no | ACAA | METTL4 | Low TS, TT | silence | IP-seq | 81 |
| Vertebrates | Zebrafish | .002-.1 emb | no | AG | | TE | activate | MS,IP | 82 |
| Xenopus laevis | 0.00009 | no | AG | | Low at TS | | | 83 |
| Sus scrofa | .05-.17 emb | n/a | - | | | | MS | 82 |
Mouse ES Brain ESC | .0006-.007 | no | AAGA AGGA | METTL4 | noncoding | silence | | 84 85 22 |
| Rat | 0.00001 | n/a | | | | | MS,IP | 86 |
Human Glioblastoma 2n/1n cells | .023-.064 0.004 | no H3K9me3 AG,GA | AGG AG,GA | N6AMT1c AlkBH1 | exons, TT Low at X,Y Allele-spec. | activate | | 20 29 87 |
+
+<|ref|>text<|/ref|><|det|>[[62, 542, 100, 552]]<|/det|>
+811
+
+<|ref|>text<|/ref|><|det|>[[62, 556, 612, 568]]<|/det|>
+812 a Related to N6AMT2; b Related to MT type IC; c Related to N6AMT1.
+
+<|ref|>text<|/ref|><|det|>[[62, 571, 878, 599]]<|/det|>
+813 Abbreviations: MS, mass-spectrometry; IP, MeDIP-seq; SMRT, SMRT-seq; TS and TT, transcription start 814 and transcription termination; TE, transposable elements; emb, embryos; Early-DF, early-diverging fungi.
+
+<--- Page Split --->
+<|ref|>table_caption<|/ref|><|det|>[[113, 91, 787, 108]]<|/det|>
+Table S2. Putative amino-MTase and demethylase orthologs in the phylum Rotifera.
+
+<|ref|>table<|/ref|><|det|>[[115, 118, 936, 409]]<|/det|>
+
+| Species | N4CMT (N6_N4_Mtase)PF01555 SPPY | METTL4 (MT-A70) PF05063 DPPW | N6AMT1 PF05175 NPPY | N6AMT2 (N6aMlase) PF10237 DPPF/Y | MT type IC PF02384 NPPF/Y | AlkBH1 | AlkBH4 | TET | WGS assembly (source) |
| Adineta vaga (Av-ref) | + | + | + | + | - | + | + | - | 16 |
| Adineta vaga (AvL1) | + | + | + | + | - | + | + | - | 33 |
| Adineta ricciae | + | + | + | + | - | + | + | - | 18 |
| Adineta steineri | + | + | + | + | - | + | + | - | 47 |
| Rotaria magnacalcarata | + | + | + | + | - | + | + | - | 18 |
| Rotaria macrura | + | + | + | + | - | + | + | - | 18 |
| Rotaria sordida | + | + | + | + | - | + | + | - | 47 |
| Rotaria socialis | + | + | + | + | - | + | + | - | 47 |
| Rotaria sp. 'Silwood-1' | + | + | + | + | - | + | + | - | 47 |
| Rotaria sp. 'Silwood-2' | + | + | + | + | - | + | + | - | 47 |
| Didymodactylos carnosus | - | + | + | + | - | + | + | - | 47 |
| Brachionus plicatilis | - | - | + | + | - | + | + | - | 88 |
| Brachionus calyciflorus | - | - | + | + | - | + | + | - | 89 |
| Brachionus koreanus | - | - | + | + | - | + | + | - | 90 |
| Brachionus rotundiformis | - | - | + | + | - | + | + | - | 91 |
| Brachionus asplanchnoidis | - | - | + | + | - | + | + | - | 67 |
| Brachionus sp. 'Tiscar' | - | - | + | + | - | + | + | - | 67 |
+
+<|ref|>text<|/ref|><|det|>[[115, 415, 140, 426]]<|/det|>
+817
+
+<|ref|>text<|/ref|><|det|>[[115, 433, 140, 443]]<|/det|>
+818
+
+<|ref|>text<|/ref|><|det|>[[115, 450, 420, 462]]<|/det|>
+819 **Table S3.** Properties of E. coli strains.
+
+<|ref|>text<|/ref|><|det|>[[115, 468, 140, 478]]<|/det|>
+820
+
+<|ref|>table<|/ref|><|det|>[[115, 475, 881, 853]]<|/det|>
+
+| Strain name | Genotype | Methylation marks | Strain source |
ER2925 (dam-/dcm-) | ara-14 leuB6 fhuA31 lacY1 tsx78 glnV44 galK2 galT22 mcrA dcm-6 hisG4 R(zgb210::Tn10)TetS endA1 rspL136 (StrR) dam13::Tn9 (CamR) rfbD1 xylA-5 mtl-1 thi-1 mcrB1 hsdR2 | None (except rare EcoKI methylation) | NEB |
ER2738 (methyl-free) | F'proA+B' lacF' Δ(lacZ)M15 zzf::Tn10(TetR)/ fhuA2 glnV Δ(lac-proAB) thi-1 Δ(hsdS-mcrB)5 | None | NEB |
| M28 | F- galK2(Oc) IN(rrnD-rrnE)1 rpsL200(strR) rph-1 | 6mA, 5mC | M. Meselson |
| DH5αTM | F- Φ80/lacZΔM15 Δ(lacZYA-argF) U169 recA1 endA1 hsdR17(rk-, mk+) phoA supE44 thi-1 gyrA96 relA1 λ- | 6mA, 5mC | Invitrogen |
NEB® 5- alpha | fhuA2 Δ(argF-lacZ)U169 phoA glnV44 Φ80Δ (lacZ)M15 gyrA96 recA1 relA1 endA1 thi-1 hsdR17 | 6mA, 5mC | NEB |
| Top10 | F- mcrA Δ(mrr-hsdRMS-mcrBC) Φ80/lacZΔM15 ΔlacX74 recA1 araD139 Δ(ara,leu)7697 gaU galK rpsL (StrR) endA1 nupG | 6mA, 5mC | Invitrogen |
| BL21-AI™ | FompT hsdSB (rB' mB') gal dcm araB::T7RNAP- tetA | 6mA | Invitrogen |
Rosetta™ 2(DE3) | F- ompT hsdSB(rB- mB-) gal dcm (DE3) pRARE2 (CamR) | 6mA | Novagen |
+
+<--- Page Split --->
+<|ref|>table_caption<|/ref|><|det|>[[113, 91, 830, 123]]<|/det|>
+Table S4. Genometric correlations between DIP-seq methylation marks and gene and TE annotations in Av-ref and AvL1 assemblies 92.
+
+<|ref|>table<|/ref|><|det|>[[115, 137, 950, 386]]<|/det|>
+
+| Genometric Correlation | Assembly | Av-ref | AvL1 |
| IP-seq to TE annotations | Test | IP 4mC-TEs | IP 6mA-TEs | IP 4mC-TEs | IP 6mA-TEs |
| Relative Ks p-valuea | Kolmogorov- Smirnov test | 1.289e-13 | 0.0358 | 0.0083 | 0.0048 |
| Relative ecdf deviation areab | Permutation test | 0.0459 | 0.0070 | 0.0125 | 0.0137 |
| Relative ecdf area correlationb | 0.1842 | 0.0285 | 0.0502 | 0.0540 |
Relative ecdf deviation area p-valueb | <0.01 | 0.01 | <0.01 | <0.01 |
| Jaccard Measure p-valuec | Jaccard test | <0.01 | <0.01 | <0.01 | <0 .01 |
| Jaccard Measure lower tailc | FALSE | FALSE | FALSE | FALSE |
| Projection test p-valued | Projection test | 0 | 0 | 0 | 0 |
| Projection test lower taild | FALSE | FALSE | FALSE | FALSE |
+
+<|ref|>text<|/ref|><|det|>[[113, 404, 861, 450]]<|/det|>
+aRelative Ks p-value: relative distance test measures whether two sets of positions are closer together or further apart than expected. P-value close to zero: non-uniform distribution (query locations are non-independent of the references).
+
+<|ref|>text<|/ref|><|det|>[[113, 454, 875, 500]]<|/det|>
+bRelative ecdf deviation area p-value: compares the two cumulative distribution functions using the area of the region in which they differ as the test statistic. P-value close to zero: query features are closer than expected to the reference features.
+
+<|ref|>text<|/ref|><|det|>[[113, 504, 850, 550]]<|/det|>
+cJaccard Measure lower tail: measures overlaps between two interval sets by measuring the extent of intersection between two interval sets, divided by the length of their union. FALSE:Overlap is more frequent than expected (p-val <0.01).
+
+<|ref|>text<|/ref|><|det|>[[113, 553, 830, 584]]<|/det|>
+dProjection test lower tail: query intervals are represented as midpoints, but the reference should be a set of intervals. Features are closer (TRUE) or away (FALSE) to reference.
+
+<--- Page Split --->
+<|ref|>table_caption<|/ref|><|det|>[[113, 92, 588, 106]]<|/det|>
+Table S5. Genome assembly and gene annotation metrics.
+
+<|ref|>table<|/ref|><|det|>[[115, 120, 914, 495]]<|/det|>
+
+| Species | A. vaga Av-ref a | A. vaga AvL1 |
Accession (assembly name) | GCA_000513175.1('2013') | AvL1 Initial assemblyb | AvL1 hybrid assemblyc |
| Coveragea (mean) | Not calculated | 40.74 (Illumina), 29.82 (PacBio) | 33.88 (Illumina), 33.33 (PacBio) |
| Span (Mb) | 217.9 | 197.1 | 217.1 |
| No. contigs | 36,335 | 19,202 | 9,859 |
| Contig N50 (kb) | 96.7 | 22.1 | 87.4 |
| No. scaffolds | 36,167 | 19,202 | 9,859 |
| Scaffold N50 (kb) | 260.3 | 19.2 | 87.4 |
| Scaffold N90 (kb) | 7.8 | 5.3 | 15.8 |
| Scaffold longest (kb) | 1,087.3 | 167368 | 747.8 |
Gaps (Ns) span (kb) (% genome) | 4,136.3 (1.9%) | None | None |
| % GC | 30.8 | 29.9 | 30.4 |
| BUSCO EUK (n = 429) | C:89%; F:3%; D:8% | C:84%; F:8%; D:8% | C:88%; F:6%; D:6% |
| BUSCO MET (n = 843) | C:84%; F:3%; D:13% | C:79%; F:6%; D:15% | C:81%; F:5%; D:14% |
| Annotation | |
| Method | Augustus | Augustus/GeneMark.ES | Braker/Augustus |
| No. genes | 49,300 | 61,531 | 65,934 |
+
+<|ref|>text<|/ref|><|det|>[[113, 500, 409, 515]]<|/det|>
+aA. vaga assembly CGA_00513175.1 16.
+
+<|ref|>text<|/ref|><|det|>[[113, 517, 577, 530]]<|/det|>
+bAvL1 initial assembly (no contaminants) GCA_013411005.1 33.
+
+<|ref|>text<|/ref|><|det|>[[113, 533, 599, 546]]<|/det|>
+cAvL1 curated hybrid assembly (Illumina + PacBio) from this study.
+
+<|ref|>text<|/ref|><|det|>[[113, 549, 555, 561]]<|/det|>
+dAverage read coverage based on trimmed and filtered data.
+
+<|ref|>text<|/ref|><|det|>[[113, 564, 852, 577]]<|/det|>
+Abbreviations: GC, guanine-cytosine; BUSCO, Benchmarking Universal Single-Copy Orthologs; EUK,
+
+<|ref|>text<|/ref|><|det|>[[113, 580, 640, 593]]<|/det|>
+Eukaryota; MET, Metazoa; C, Complete; F, Fragmented; D, Duplicated.
+
+<|ref|>text<|/ref|><|det|>[[113, 596, 144, 606]]<|/det|>
+846
+
+<--- Page Split --->
+<|ref|>table_caption<|/ref|><|det|>[[113, 92, 515, 106]]<|/det|>
+Table S6. SMRT-seq base modification detection.
+
+<|ref|>table<|/ref|><|det|>[[115, 116, 853, 455]]<|/det|>
+
+| PacBio base modification: total nucleotides | 4mC | 6mA |
| bases | total N's Assembly | 4mC-10xa | 4mC-20xb | 6mA-10xc | 6mA-20xd |
| 32676087 C's + 75836765 A's | 21016 | 10369 | 17886 | 6926 |
| PacBio base modification: total bins with modification | | | | |
| bins° | total bins | 4mC-10x | 4mC-20x | 6mA-10x | 6mA-20x |
| 1kb | 221401 | 15965 | 6536 | 15078 | 5364 |
| 5kb | 49278 | 11611 | 4473 | 11371 | 3918 |
| 10Kb | 28432 | 9001 | 3503 | 8937 | 3131 |
| Bins-TEs' | total bins | 4mC-10x | 4mC-20x | 6mA-10x | 6mA-20x |
| 1kb | 13552 | 679 | 235 | 601 | 204 |
| 5kb | 9973 | 1577 | 505 | 1471 | 420 |
| 10Kb | 9542 | 2326 | 694 | 2262 | 604 |
| Bins-Genes9 | total bins | 4mC-10x | 4mC-20x | 6mA-10x | 6mA-20x |
| 1kb | 181469 | 15118 | 6270 | 14144 | 5036 |
| 5kb | 88412 | 26892 | 10518 | 26346 | 9161 |
| 10Kb | 76640 | 35659 | 14197 | 35209 | 12537 |
+
+<|ref|>text<|/ref|><|det|>[[61, 457, 91, 468]]<|/det|>
+848
+
+<|ref|>text<|/ref|><|det|>[[61, 473, 656, 484]]<|/det|>
+849 aSMRT-seq 4mC modified bases with minimum 10x PacBio read coverage
+
+<|ref|>text<|/ref|><|det|>[[61, 487, 656, 499]]<|/det|>
+850 bSMRT-seq 4mC modified bases with minimum 20x PacBio read coverage
+
+<|ref|>text<|/ref|><|det|>[[61, 502, 656, 514]]<|/det|>
+851 cSMRT-seq 6mA modified bases with minimum 10x PacBio read coverage
+
+<|ref|>text<|/ref|><|det|>[[61, 517, 656, 529]]<|/det|>
+852 dSMRT-seq 6mA modified bases with minimum 20x PacBio read coverage
+
+<|ref|>text<|/ref|><|det|>[[61, 532, 526, 544]]<|/det|>
+853 eGenome binning into different bin sizes (1, 5 and 10 kb)
+
+<|ref|>text<|/ref|><|det|>[[61, 547, 350, 558]]<|/det|>
+854 'Bins containing TE annotations
+
+<|ref|>text<|/ref|><|det|>[[61, 562, 365, 573]]<|/det|>
+855 gBins containing gene annotations
+
+<--- Page Split --->
+<|ref|>table_caption<|/ref|><|det|>[[114, 92, 439, 106]]<|/det|>
+Table S7. Primers and oligonucleotides.
+
+<|ref|>table<|/ref|><|det|>[[114, 120, 875, 775]]<|/det|>
+
+| Name | Sequence (5'->3') | Purpose |
| N4CMT-F | tttGGATCCgtcattactaaacaaatatgtcggt | N4CMT ORF amplification |
| N4CMT-R | tttCTCGAGCaccaaatgtacttttgacttcgat | |
| N4CMT-Cbx-R | tttCTCGAGttgtctKMgacgtaatcgataacca | |
| N4CMT_Seq1 | atcgcggttcgacagtcaat | Sequencing |
| IAY21-SP-F | aatttgaacgccagcacagt | Site-directed mutagenesis to |
| IAY21-SP-R | gatctcagtggtggtggtgg | obtain catalytic mutants |
| IAY21-OP-F | ccagccaaataaacttggtcttcgtgaaggt | |
| IAY21-OP-R | tggagctgtaacaacacattgaacgga | |
| IAY22-OP-F | ccagccaaataaacttggccttcgtga | |
| IAY21-Y65A-F | ttgttacagctccaccagc | |
| | Substrates for in vitro assays: |
| MTase_subst-1a | ttgaatagttccgCCGGaattttCagtcaa | 4mC 30-bp from A. vaga AvL1 |
| MTase_subst-1b | ttgactGaaaattcCGGcggaaactattcaa | c1882 |
| Av11_tel_GGGTGTGT | gggtgtgtgggtgtgtggg | A. vaga AvL1 19-bp telomeric- |
| Av11_tel_CCCACACA | cccacacacccacacaccc | like repeat |
| Av_tel_TGTGGG | tgtgggtgtgggtgtggg | A. vaga Av-ref 18-bp telomeric |
| Av_tel_ACACCC | acacccacacccacaccc | repeat |
| Av11_c2350-F1 | agggagacatccttattgaagca | 4mC ~460-bp repeat unit from |
| Av11_c2350-R1 | tcaagtctgttgacctacataagaa | A. vaga AvL1 c1882 |
| Av11_4mC/6mA_F1 | tgtacctcgacgatgttttgtg | 4mC/6mA 580-bp from AvL1 |
| Av11_4mC/6mA_R1 | tctcagacgggctacatgat | c785 (Athena retroelement) |
| Av11_6mA_F1 | tccgccacttccataactgt | 6mA, 405-bp from A. vaga |
| Av11_6mA_R1 | catcatgttgtcaaaggaaactcc | AvL1 c699 (hnRNP-A) |
| A11motif-HindIII-F | tttAAGGTTacctcaatgcacatatagcc | Contains putative N4CMT |
| A11motif-BamHI-R | tttGGATCctttgatatgcttcaataaggatg | recognition motif from A. vaga AvL1 c1882 repeat |
| A11motif-3'209-F1 | tcaCcctaccctcatggatt | 4mC 209-bp part of repeat unit from A. vaga L1 c2350. Used with Av11_c1882-R1 primer. |
| A11motif-5'200-R1 | aatcgatgcttggtttggac | 4mC 200-bp part of repeat unit from A. vaga L1 c1882. Used with Av11_c2350-F1 primer. |
| AvL1c2350-364-R | ggatctatgttgagtgtgtgg | 4mC 371-bp part of repeat unit from A. vaga L1 c1882. Used with Av11_c2350-F1 primer. |
+
+<--- Page Split --->
+<|ref|>table_caption<|/ref|><|det|>[[115, 92, 441, 106]]<|/det|>
+Table S8. N4CMT recombinant proteins.
+
+<|ref|>table<|/ref|><|det|>[[117, 119, 860, 308]]<|/det|>
+
+| Protein_ID | Protein_variant | Length, aa | MW, kDa | pl |
| N4CMT A' | N6_N4_MTase+Cbx (s23) | 426 | 49.73 | 8.98 |
| N4CMT A | N6_N4_MTase+Cbx (s23) p.L416R | 426 | 49.78 | 9.05 |
| N4CMT B | N6_N4_MTase+Cbx (s179) | 426 | 49.75 | 9.06 |
| N4CMT B' | N6_N4_MTase+Cbx (s179) p.R416L | 426 | 49.71 | 8.99 |
| N4CMT A-△Cbx | N6_N4_MTase (s23) | 287 | 33.20 | 8.60 |
| N4CMT B-△Cbx | N6_N4_MTase (s179) | 287 | 33.13 | 8.60 |
| N4CMT A-APPA | N6_N4_MTase+Cbx (s23) p.S62A;Y65A;L416R | 426 | 49.63 | 8.99 |
| N4CMT B-APPA | N6_N4_MTase+Cbx (s179) p.S62A;Y65A | 426 | 49.65 | 9.07 |
+
+<|ref|>table_caption<|/ref|><|det|>[[115, 340, 676, 355]]<|/det|>
+Table S9. Summary of N4CMT action on E. coli genomic DNA in vitro.
+
+<|ref|>table<|/ref|><|det|>[[117, 368, 801, 494]]<|/det|>
+
+| E. coli strain | Acquisition of 4mC mark after N4CMT treatment | E. coli genetic background |
| 6mA | 5mC |
| Rosetta 2(DE3) (n=2) | ++ | Dam+/ EcoK1+ | Dcm- |
| BL21-Al | ++ | Dam+/ EcoK1+ | Dcm- |
| M28 | + | Dam+/ EcoK1+ | Dcm+ |
| ER2925 (n=2) | + | Dam-/ EcoK1+ | Dcm- |
| ER2738 | - | Dam-/ EcoK1- | Dcm- |
+
+<|ref|>table_caption<|/ref|><|det|>[[115, 525, 871, 557]]<|/det|>
+Table S10. Summary of ChIP-seq peaks identified by MACS2 (diagonal values) and overlap of peaks within Av-ref and AvL1 assemblies.
+
+<|ref|>table<|/ref|><|det|>[[117, 568, 543, 721]]<|/det|>
+
+| Av-ref | H3K4me3 | H3k9me3 | H3K27me3 |
| H3K4me3 | 5163 | 13 | 27 |
| H3K9me3 | - | 1902 | 1811 |
| H3K27me3 | - | - | 4630 |
| AvL1 | H3K4me3 | H3k9me3 | H3K27me3 |
| H3K4me3 | 5789 | 43 | 48 |
| H3K9me3 | - | 1205 | 681 |
| H3K27me3 | - | - | 2378 |
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[115, 90, 812, 106]]<|/det|>
+**Table S11. Gene ontology analysis of methylated and unmethylated genes (.XLSX file).**
+
+<|ref|>text<|/ref|><|det|>[[115, 123, 598, 137]]<|/det|>
+**Table S12. Methylation analysis in under-annotated regions.**
+
+<|ref|>table<|/ref|><|det|>[[115, 150, 720, 824]]<|/det|>
+
+| contig | start | stop | 4mC-10x | 6mA-10x | annotations |
| Contig1073a | 0 | 25272 | 10 | 17 | Chapaev |
| Contig1204e | 66205 | 74905 | 4 | 10 | |
| Contig1251a | 29664 | 39261 | 11 | 10 | Polinton-9 |
| Contig126b | 34974 | 38796 | 2 | 10 | Hebe |
| Contig1397b | 24097 | 31635 | 9 | 10 | Juno/AthJN |
| Contig1606e | 50662 | 52438 | 10 | 5 | |
| Contig1615e | 4175 | 10552 | 9 | 12 | |
| Contig1743e | 0 | 5188 | 10 | 10 | |
| Contig18953e | 26550 | 30514 | 7 | 14 | |
| Contig2220a | 29384 | 35415 | 10 | 6 | Ginger |
| Contig2425b | 43254 | 59525 | 1 | 11 | CACTA1 |
| Contig2467b | 0 | 19427 | 13 | 2 | Helitron |
| Contig286c | 0 | 7155 | 1 | 12 | ITS |
| Contig2879e | 2234 | 4406 | 19 | 17 | |
| Contig2948a | 0 | 8375 | 7 | 10 | Helitron |
| Contig3423e | 1154 | 6396 | 13 | 16 | |
| Contig3571d | 0 | 10942 | 24 | 14 | TR |
| Contig3784e | 0 | 9651 | 8 | 20 | |
| Contig3893b | 4644 | 35659 | 14 | 4 | Athena-P |
| Contig4128c | 0 | 5620 | 24 | 16 | ITS |
| Contig4313a | 8885 | 19081 | 10 | 4 | DNA-N26B |
| Contig4665e | 840 | 5755 | 34 | 10 | |
| Contig480b | 0 | 13847 | 11 | 5 | Athena-I |
| Contig523e | 36990 | 42099 | 12 | 5 | |
| Contig5325b | 8714 | 25663 | 15 | 22 | Athena-M |
| Contig6065b | 3940 | 10974 | 22 | 18 | TelKA1a |
| Contig61067b | 0 | 10836 | 12 | 18 | Vesta1 |
| Contig67e | 0 | 10315 | 11 | 10 | |
| Contig805e | 3363 | 6455 | 3 | 13 | |
| Contig8145e | 15264 | 20597 | 4 | 11 | |
| Contig839e | 38934 | 43045 | 11 | 5 | |
| Contig865e | 0 | 11998 | 11 | 13 | |
| Contig882b | 6424 | 20046 | 11 | 4 | MuDR/Mariner |
| Contig89b | 14890 | 25375 | 7 | 11 | Vesta1 |
| Contig925e | 105036 | 112889 | 13 | 9 | |
| Contig991b | 2840 | 24886 | 10 | 2 | TR/Sola3/Pen |
+
+<|ref|>text<|/ref|><|det|>[[115, 840, 755, 853]]<|/det|>
+876
+
+<|ref|>text<|/ref|><|det|>[[115, 840, 755, 853]]<|/det|>
+877 aRepbase-TE (5); bAdineta-TE (12); cITS (2); d'tandem repeat (1); eunknown (16).
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[115, 90, 308, 109]]<|/det|>
+## Supplementary Note
+
+<|ref|>text<|/ref|><|det|>[[111, 137, 881, 544]]<|/det|>
+Gene transcription and DNA modifications. According to SMRT- seq, repetitive regions such as TEs or TRs attract the highest base modification density (Fig. 2g). Still, nearly one- half of tag counts originate from genic loci: a total of 10,928 4mC and 9,596 6mA methylation marks, representing ca. \(52\%\) and \(54\%\) of total 4mC and 6mA, respectively, lie within gene annotations. To examine the links between gene transcription and DNA methylation at base- level resolution, we compared AvL1 transcriptomic data for genes carrying one or more methylation marks in the SMRT- seq dataset (Extended Data Fig. 5a- c), distinguishing those with 1, 2, 3 or more marks (with 4mC and 6mA separately and combined). We used RPKM values to divide genes into subsets with higher (RPKM \(\geq 1\) ) and lower (RPKM \(< 1\) ) transcription levels, and to examine correlations with the number of methylation marks. In general, numbers of genes with methylated sites (4mC, 6mA or both combined) and higher RPKM \((\geq 1)\) were significantly higher than those with equal methylation levels but lower RPKM \((< 1)\) . Further, although genes with \(>3\) 6mA sites did not show significant differences (p- val \(= 0.71\) , \(\chi^{2}\) test for 40 and 33 genes for high and low RPKM respectively), the combined numbers for 4mC and 6mA were significant (p- val \(= 3.02\mathrm{E - 5}\) ) (Extended Data Fig. 5c). Even though some of the methyl marks may be false positives, the observed difference between two gene categories suggests association between methyl marks and genes with higher transcription levels.
+
+<|ref|>text<|/ref|><|det|>[[111, 548, 881, 904]]<|/det|>
+To discern the connections between gene methylation and transcription, we explored the occupancy of 4mC and 6mA near the TS in genes. Regardless of the number of modified bases in gene body or in a 2- kb window upstream of TS, methylated genes are consistently expressed at higher levels than unmethylated genes (Extended Data Fig. 5d). Notably, the 6mA occupancy shows a characteristic profile, i.e. a double peak, upstream of TS sites, while 4mC does not (Extended Data Fig. 5e, right panel). Inspection of these patterns with cluster analysis (deepTools option - - kmeans with -- outFileSortedRegions) shows that they mainly originate from a total of 1212 gene models carrying the double 6mA mark (ca. 260 bp and 750 bp upstream of TS) and no significant accumulation of 4mC sites (Extended Data Fig. 5f). The increased 6mA deposition was corroborated by DIP- seq data, with a significant peak observed upstream of TS for these 1212 genes (Extended Data Fig. 5g); a smaller 4mC DIP- seq peak was also visible further upstream. Comparison of expression levels for these 1212 genes shows that their transcription levels are higher than average (Extended Data Fig. 5h). We then checked their homologs in Av- ref for similarity of methylation and expression profiles. After a blastp search with 1212 AvL1 genes as queries, we obtained 909 A. vaga homolog gene models, which not
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 87, 881, 228]]<|/det|>
+only showed a similar DIP- seq peak profile (Extended Data Fig. 5,i), but also had expression levels significantly higher than average (Extended Data Fig. 5j). Overall, SMRT- seq modification data agree well with DIP- seq profiles of homologous gene sets in two strains. These observations rule out the possibility of residual RNA- derived 6mA signal and support the view that genic 6mA modifications, particularly those near the TS, are positively correlated with high expression levels of the corresponding genes.
+
+<|ref|>text<|/ref|><|det|>[[112, 231, 877, 418]]<|/det|>
+We also performed gene ontology (GO) analysis to find out whether specific gene categories are subject to modification. In AvL1, \(66\%\) of genes with 6mA SMRT- seq signature at TS had annotated functions, which is comparable with \(63\%\) for all gene models (41,340 genes with GO annotations out of 65,934) (Table S11). Several GO categories displayed significant differences between methylated and unmethylated genes (Fisher's exact test), and the shared groups between Av- ref and AvL1 6mA- methylated genes were rather broad (metabolism, development, catalytic activity, biogenesis). These findings are consistent with designation of 6mA as a developmentally dynamic mark \(^{79,83,93}\) .
+
+<|ref|>text<|/ref|><|det|>[[112, 421, 883, 860]]<|/det|>
+Haplotype- specific 6mA patterns were suggested to affect allele- specific transcription \(^{87}\) . Since the AvL1 genome displays the same degenerate tetraploid structure as Av- ref, with \(40\%\) of the genome organized in quartets \(^{16,33}\) , we searched for allele- specific DNA methylation patterns affecting homologs and/or homologs (homeologs). We defined collinear block regions in AvL1 (see Methods) and searched for inter- block differences in base modifications (SMRT- seq) and in transcription levels (log2RPKM). Initial inspection suggested that any inter- block transcription differences (Extended Data Fig. 6b) originated from blocks with broken collinearity (i.e., when blocks could not be aligned without rearrangements). Upon comparing the number of base modifications between homologous blocks, only a few cases showed disparity in modified bases (Extended Data Fig. 6c). Out of 28705 pairs in AvL1, with 25619 defined as collinear and 3086 with broken collinearity, 615 and 59 showed difference in SMRT- seq methylation of two or more marks (square root of base modification difference) for collinear and broken pairs, respectively. To establish if collinearity (collinear or broken) and difference in methylation between blocks are independent, \(\chi 2\) test was performed using the categories of pairs without base modification difference (value 0 for 16000 collinear pairs vs. 1743 broken pairs) and pairs with any difference (value \(\geq 1\) in 17611 collinear pairs vs. 1343 broken pairs). The test showed that proportions between both categories are not fully independent, with some association between collinearity and methylation level difference between pairs ( \(\chi 2\) test, p- val = 3.57E- 21).
+
+<|ref|>text<|/ref|><|det|>[[113, 855, 870, 898]]<|/det|>
+Finally, we analyzed the remaining AvL1 genomic regions lacking ab initio annotations but still displaying significant methylation density. Genomic regions without gene models or
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[111, 88, 867, 325]]<|/det|>
+annotated TEs/TRs were extracted, and each region was examined for the presence of 4mC and/or 6mA indicated by SMRT analysis. Contigs with methyl marks were further inspected for coverage with Illumina, PacBio, and RNA- seq reads, and showed a lack of transcriptomic coverage, indicative of transcriptionally silent regions (Extended Data Fig. 3f; Table S12). Regions covered by methyl marks were extracted and used in BLAST searches to detect homology to known genes or TEs. From a final set of 36 AvL1 loci with significant numbers of 4mC and/or 6mA sites (>10 tags), the analysis revealed one under- annotated tandem repeat, two ITS regions and 17 regions showing homology to TEs (12 from combined Adineta TE libraries and 5 from Repbase), indicating that one- half of the extensively methylated, transcriptionally silenced regions represents under- annotated TEs (Table S12).
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[115, 90, 349, 108]]<|/det|>
+## Supplementary Discussion
+
+<|ref|>text<|/ref|><|det|>[[112, 123, 882, 430]]<|/det|>
+Base modification, primarily in the form of methylation, constitutes an important facet of epigenetics due to the covalent nature of its linkage to DNA. In eukaryotes, the archetypal 5mC modification dominates the epigenetic landscape, and its distribution patterns are established by concerted action of writers, readers and erasers of epigenetic marks. The maintenance and de novo MTases Dnmt1 and Dnmt3 act together with demethylases to set the levels of CpG methylation \(^{5,94}\) , and may have been doing so since the divergence of plants and animals \(^{95}\) (but see \(^{96}\) ). In bacteria, the most widespread DNA modifications added by amino- MTases of R- M systems modify the exocyclic amino groups of adenines and cytosines, with 5mC constituting a distant third \(^{30}\) because of high incidence of 5mC \(\rightarrow\) T transitions prone to deamination. The 6mA modification is widespread in eukaryotes, although its role is still debated, especially when its levels are particularly low \(^{9,11,36,58}\) . Our assessment of A. vaga methylome broadly agrees with the view of 6mA as a dynamic context- dependent mark, associated with higher expression in a subset of genes but also found over repressed TEs.
+
+<|ref|>text<|/ref|><|det|>[[112, 448, 884, 732]]<|/det|>
+The overall level of 4mC, as revealed by SMRT- seq, amounted to \(0.065\%\) of cytosines, while the somewhat lower 6mA content ( \(0.024\%\) of adenines) is still higher than 6mA levels in X. laevis or mouse, and is comparable to values reported for C. elegans, Drosophila, plants, and humans (Table S1). Lower 6mA levels are not surprising, as this dynamic mark can be modulated in a tissue- and stage- specific fashion by balancing activities of N6A- MTases and AlkB- like demethylases, which are present in belloids. Indeed, a higher fraction of 4mC may be due to lack of enzymes responsible for active cytosine demethylation, such as TET or potential homologs of bacterial R- M enzymes recognizing 4mC. Notably, both 4mC and 6mA sites show an asymmetric pattern, in contrast to symmetrical MTases, such as Dnmt1 in mammals or N6A- MTases of ciliates and early- diverging fungi, which act on hemi- methylated DNA \(^{4,72,77}\) . The lack of maintenance MTases acting on symmetric motifs implies that methyl marks should be added de novo after DNA replication to be maintained at specific sites.
+
+<|ref|>text<|/ref|><|det|>[[113, 751, 881, 890]]<|/det|>
+Interestingly, the preferred symmetrical dinucleotide for 4mC addition (CpG) coincides with that of canonical C5- MTases, although the asymmetric CpA is also frequently utilized. This agrees with higher similarity of N4CMT to bacterial MTases with a CG doublet in their recognition motif, suggesting that recognition by TRD may contribute to target choices. For 6mA addition, the asymmetric ApG or GpA are the preferred sites, as in other metazoans with similar 6mA content (Table S1). Symmetrical 6mA addition to ApT dinucleotides occurs in green algae,
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 88, 870, 180]]<|/det|>
+ciliates, and early- diverging fungi, where it is associated with actively transcribed genes and with linker DNA between nucleosomes \(^{71 - 73,77}\) . The sequence context of methylation sites may further contribute to recognition of methyl marks by various readers, often resulting in opposite transcriptional effects, as shown for 5mC or 6mA \(^{22}\) .
+
+<|ref|>text<|/ref|><|det|>[[111, 199, 881, 797]]<|/det|>
+It is hardly a coincidence that N4CMT is most closely related to MTases of cyanophages rather than bacteria. Indeed, phage- borne orphan MTases, in addition to being prone to horizontal spread, may be under evolutionary pressure to broaden their sequence specificity to protect the phage from multiple bacterial R- M systems \(^{97}\) . An MTase with strict target specificity is unlikely to cover a broad range of epigenetic targets, limiting its regulatory potential, and would benefit from reduced sequence specificity while acquiring chromatin- based targeting. The intrinsic N4CMT target preference adds an intriguing twist to this view. While this preference is seen in our in vitro assays and is manifested in vivo as high- density SMRT modification regions, these regions do not show an increased density of H3K9/27me3 histone marks over modified TRs (Extended Data Fig. 3a). In C. elegans, a SETDB1 homolog met- 2 adds H3K9me2 marks to suppress transcription of satellite repeats, which in met- 2 null worms yield DNA- RNA hybrids and trigger DNA damage- induced germline lethality \(^{98}\) . Although investigations of DNA damage are outside the scope of the present work, future studies may uncover additional pathways involving chromodomain- independent N4CMT activity targeting 4mC to silence satellite repeats. Indeed, the 460- bp repeat in AvL1 is fully silenced, since our qRT- PCR experiments failed to yield PCR products (data not shown). It also remains to be seen whether H3K9me and H3K27me exhibit spatial and functional overlap in bellodis, as in ciliates \(^{44,45}\) , or are separated in space/time, with such studies being impeded by syncytial organization. Although in Drosophila and mammals H3K9 denotes constitutive and H3K27 - facultative heterochromatin, and the relevant enzymatic machinery is represented by SUV39H, G9a and SETDB1 homologs for H3K9 and the EZH- containing Polycomb repressive complex 2 for H3K27, the lack of SUV39H- like and G9a- like proteins in bellodis may indicate their replacement with diversified SETDB1 paralogs for H3K9 methylation, and supports a facultative, bivalent nature of their heterochromatin, as indicated by triple Tudor domains in SETDB1 which recognize a combination of active and repressive histone marks to ensure silencing \(^{99}\) .
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[111, 125, 736, 520]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[111, 530, 870, 630]]<|/det|>
+Extended Data Fig. 1. Base and dinucleotide composition features in A. vaga. a, Distribution of the observed/expected ratio of CpG dinucleotide frequency in Av-ref and AvL1 assemblies in a 1-kb sliding window (left panel) and in CDS regions (right panel). Its mean value, 1.103 and 1.032 for Av-ref and AvL1, respectively, indicates the lack of pronounced 5mC deamination signatures in gDNA. CDS ratio was calculated per gene, with 1.096 and 0.990 as mean CpG obs/exp values for Av-ref and AvL1, respectively. b, Nucleotide and dinucleotide composition frequencies across AvL1 TE annotations and 5' upstream regions.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[123, 95, 844, 750]]<|/det|>
+
+<|ref|>text<|/ref|><|det|>[[113, 760, 879, 909]]<|/det|>
+Extended Data Fig. 2. DIP-seq peak distribution near genes and transposons in AvL1. a- b, Distribution of 4mC and 6mA DIP-seq peaks calculated by MACS (see Methods) around gene (a) and TE (b) annotations in AvL1, with coverage of peak deposition located within and in the proximity of annotated features. Peak coverage is represented in 25- bp bins within 2.5 kb upstream and downstream. The body size feature, representing genes or TEs, is automated and normalized as meta- profile (0- 100% of body length). c- d, Profiles (top) and heat maps (bottom) in AvL1 showing relative fold enrichment of DIP- seq reads for 4mC and 6mA. (c), gene regions with TS (transcription start) and TT (transcription termination) sites and their vicinity (±3 kb). (d), TE annotations within 5' (5) and 3' (3) sites and near insertion points (±3 kb). The right- hand side in C and D represents profiles and heatmaps of DIP- seq reads over features divided into four clusters (deepTools- - kmer 4; Methods).
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[120, 90, 820, 775]]<|/det|>
+
+<|ref|>text<|/ref|><|det|>[[113, 775, 881, 909]]<|/det|>
+Extended Data Fig. 3. DNA and histone modifications on selected contigs. Circos plots of Av- ref (Av) and AvL1 (As) profiles show 7 layers with annotations, sequencing coverage, methylation sites, and DIP/ChIP peaks. Inside 1043 outside: TEs, grey bars; genes, orange bars; green line, RNA coverage for Av- ref and AvL1 transcriptomes; purple 1044 line, small RNA coverage in Av- ref. Blue histogram, \(\% \mathrm{G} + \mathrm{C}\) (light- blue, low GC; dark- blue, high GC). In DNA 1045 sequencing coverage plots, red and blue represent coverage by Illumina and PacBio reads, respectively (Methods). 1046 In AvL1 PacBio layer, DNA methylation sites for 4mC (blue triangle) and 6mA (red square), with height in the ring 1047 showing methylation fraction (from 0 to 1). Histone methylation peaks for H3K4, H3K9 and H3K27: orange, green and 1048 black bars, respectively. Blue and red bars, DIP- seq 4mC and 6mA peaks. Contig/scaffold ideograms are plotted as 1049 black bars, with labels for Av- ref (Av) and AvL1 (As) showing the numbers from source assemblies GCA_000513175 1050 and AvL1, respectively. Label ticks are distanced at 5 kb. Coverage layers were calculated with 1- kb sliding window.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[122, 90, 790, 512]]<|/det|>
+
+<|ref|>image<|/ref|><|det|>[[115, 536, 820, 770]]<|/det|>
+
+<|ref|>text<|/ref|><|det|>[[113, 775, 877, 909]]<|/det|>
+Extended Data Fig. 4. N4CMT expression, purification and activity on different substrates. a, Diagram of recombinant N4CMTs used in this study. Amino acids differing between two variants amplified from scaffold_23 and scaffold_179 are shown. S, S tag; H, His tag. Vertical red arrows indicate C-terminal Leu or Arg substitutions yielding additional recombinant protein variants. Non-conservative aa substitutions are in red. b, SDS-PAGE of purified N4CMTs. Arrows indicate positions of recombinant N4CMT proteins and the electrophoresis migration front dye bromophenol blue (BPB). c, Western blotting of the gel in (b) with anti-His tag antibody showing the presence of recombinant proteins with the expected molecular mass. d-e, Immuno-dot blots with anti-4mC antibody for different substrates treated with recombinant N4CMT allozymes in vitro. f, Alignment of conserved motifs in tandem repeat units from A. vaga (Av, AvL1) and A. ricciae (Ar) used to build a consensus in Fig. 3e, visualized in Jalview 2.11.1.3. Not more than seven repeat units from each contig are shown.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[123, 92, 825, 721]]<|/det|>
+
+<|ref|>text<|/ref|><|det|>[[113, 722, 880, 907]]<|/det|>
+Extended Data Fig. 5. Correlation between gene transcription and SMRT modification marks. Numbers of methylated genes with 1, 2, 3 or more (>3) marks for 4mC (a), 6mA (b) and both combined (c) are plotted with their RNA- seq transcription profiles (high for RPKM \(\geq 1\) , low for RPKM \(< 1\) ). Asterisks show statistically significant differences in the numbers of methylated genes between high and low RPKM levels ( \(\chi^2\) test, \(^{**}p< 10 - 4\) , \(^{**}p< 0.05\) ). (d) Boxplot comparing expression (log2RPKM) of genes with no methylation; methylation in the gene body; around TS (2 kb upstream); and both methylated regions combined (TS plus body). Box represents the first and third quartiles; line, the median. RPKM, reads per kb per million mapped reads. e, f, 4mC and 6mA SMRT- seq methylation in the final gene set (n=65,934) (e) and clusterized for 6mA signal in the TS region (n=1212) (f). g, Distribution of 4mC and 6mA DIP- seq peaks around AvL1 genes with 6mA modification (n=1212) showing coverage of peak deposition within and near genes. In h, j, genes marked with 6mA around TS exhibit higher expression than genes without it. i, j, Distribution of 4mC and 6mA DIP- seq peaks (i) and RPKM (j) in Av- ref genes homologous to AvL1 genes in (e- h). In (g, i), peak coverage is shown in 25- bp bins within \(\pm 2\) kb. The body size feature, representing genes, is automated and normalized as a meta- profile (0- 100% of body length). In (h, j), boxplot compares the median and interquartile range of RPKM expression levels. The p- values were calculated by a two- tailed Student's t- test.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[120, 95, 875, 595]]<|/det|>
+
+<|ref|>text<|/ref|><|det|>[[112, 606, 872, 789]]<|/det|>
+Extended Data Fig. 6. Comparisons of AvL1 gene transcription in ChIP- seq peaks and in collinear blocks. a, Box plot showing AvL1 gene expression levels (log2RPKM) associated with co- localized H3K4me3, H3K9me3, H3K27me3, and H3K9- 27me3 marks or without histone marks. ANOVA analysis shows significant differences in expression (one way ANOVA, \(Df = 4\) , \(F = 1331\) ), with genes associated with the H3K4me3 mark displaying the highest RPKM (reads per kilobase per million mapped reads). b, Transcription in collinear blocks. Points represent collinear blocks of genes, plotted based on the transcription values (log2RPKM) on block1 (X- axis) and transcription on block2. Syntenic blocks are differentiated between two groups: collinear (homologous genes with low Ks values) and blocks in which collinearity has been broken (homologous genes with high Ks values). c, Base modification versus transcription differences. X- axis represents the difference between blocks in the number of detected SMRT base modifications (square root), and Y- axis represents the absolute difference in log2RPKM between them.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[108, 95, 860, 380]]<|/det|>
+
+<|ref|>text<|/ref|><|det|>[[112, 395, 872, 510]]<|/det|>
+Extended Data Fig. 7. Distribution of 4mC and 6mA peak counts between different transposon types. Shown are the mean peak counts from DIP-seq data for 4mC (a) and 6mA (b) near each type of annotated TEs, classified as Helitron, LTR, non-LTR (LINE), Athena, Penelope or TIR, extending the 5' and 3' transposon ends by 500 bp window size. ANOVA analysis shows differences in distribution of 4mC (one way ANOVA, \(\mathrm{Df} = 5\) , \(\mathrm{F} = 39.871\) , p-val < 2.2 E-16) and 6mA peaks (one way ANOVA, \(\mathrm{Df} = 5\) , \(\mathrm{F} = 27.753\) , p-val < 2.2 E-16) near specific TE families.
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[140, 98, 748, 666]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[113, 655, 875, 728]]<|/det|>
+Extended Data Fig. 9. MBD proteins from the A. vaga genome. a, Diagram of recombinant MBDs used in this study. S, S tag; His, His tag; MW, Molecular weight of protein in kDa. α1, β1, β2, β3, secondary structure elements outlined in Extended Data Fig. 8a. b-c, Binding of AvMBD to unmethylated (b) and 4mC-methylated by N4CMT_A (c) DNA. For electrophoretic mobility shift assays, 2 ng of \(^{32}\mathrm{P}\) - sAvL1-451 were used with 50-100 ng of purified AvMBD proteins.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[115, 90, 199, 104]]<|/det|>
+## METHODS
+
+<|ref|>text<|/ref|><|det|>[[115, 108, 881, 183]]<|/det|>
+Rotifer cultures. A clonal culture of Adineta vaga, started in 1995 from a single individual, was maintained continuously in filtered spring water and fed with E. coli M28. Rotifers were grown in \(150\times 20 \mathrm{mm}\) untreated Petri dishes and transferred into new ones, until the desired biomass was reached. The A. vaga L1 natural isolate \(^{33}\) was collected in 2012, and the clonal culture was maintained in the laboratory under the same conditions.
+
+<|ref|>text<|/ref|><|det|>[[112, 185, 880, 508]]<|/det|>
+Plasmid construction. N4CMT ORFs from scaffold_23 (GSADVT00006927001, allele N4CMT_A) and scaffold_179 (GSADVT00035445001, allele N4CMT_B) (http://www.genoscope.cns.fr/adineta/cgi- bin/gbrowse/adineta/) were amplified from cDNA to eliminate introns. The first exon in the annotation is ambiguous and variable in different bdelloids, thus it was omitted from primer design, so that the N- terminus coincides with that used by bacterial MTases. Briefly, RNA was extracted from adult rotifers starved for 24 hours, using Direct- zol™ RNA Miniprep kit (Zymo Research), and cDNA was synthesized from 2 \(\mu \mathrm{g}\) of RNA with SuperScript® IV Reverse Transcriptase (Invitrogen) and random hexamers, following the manufacturers' protocols. N4CMT was then amplified by PCR from \(5\%\) of cDNA reaction with Q5® Hot Start High- Fidelity DNA Polymerase (NEB). All primers used in this study are listed in Table S7. PCR fragments were cloned into pET29b(+) vector (Novagen) using BamHI and XhoI sites and propagated in E.coli NEB5- alpha (NEB). Catalytically inactive mutants were obtained using Gen- Edit™ site- directed DNA mutagenesis kit (First Biotech). To obtain substrate plasmids pUC19- m97 and pUC19- m119, the insert sequence was amplified from AvL1 genomic DNA with primers A11motif- Hind3- F and A11motif- BamH1- R (Table S7) and OneTaq® Hot Start DNA Polymerase (NEB). Amplicons were treated with HindIII (Anza™ 16) and BamHI (Anza™ 5) in 1x Anza™ Red Buffer (Thermo Fisher Scientific) and purified through 1.5% agarose gel using Zymoclean Gel DNA Recovery kit (Zymo Research). The pUC19 vector was prepared in the same way, ligated with insert using Instant Sticky- end Ligase Master Mix (NEB) and transformed into NEB5α competent cells (NEB). Plasmid purifications were done with Zyppy Plasmid Miniprep (Zymo Research). Inserts were verified by Sanger sequencing on the ABI3730XL at the W. M. Keck Ecological and Evolutionary Genetics Facility at the Marine Biological Laboratory. Expression plasmids carrying AvMBD sequences in pET29b(+) vector were synthesized by GenScript. All DNA sequences were optimized with GenSmart™ service to produce soluble recombinant proteins in E. coli.
+
+<|ref|>text<|/ref|><|det|>[[111, 515, 880, 897]]<|/det|>
+Protein expression and purification. Recombinant proteins were expressed in E. coli Rosetta 2(DE3) (Novagen) in LB medium, Miller formulation (Amresco) supplied with \(50 \mu \mathrm{g} / \mathrm{ml}\) kanamycin (Fisher Scientific), 34 \(\mu \mathrm{g} / \mathrm{ml}\) chloramphenicol (Acros Organic). First, cells were grown at \(37^{\circ} \mathrm{C}\) , 200 rpm until OD=0.4. After that, cultures were heat- shocked as follows: 10 min at \(42^{\circ} \mathrm{C}\) , 20 min at \(37^{\circ} \mathrm{C}\) , 30 min on ice, and 20 min at \(37^{\circ} \mathrm{C}\) . After final OD check, expression of recombinant proteins was induced by supplying the growth medium with IPTG (Gold Bio) to \(500 \mu \mathrm{M}\) , and the culture was grown for additional 4 h at \(32^{\circ} \mathrm{C}\) , 350 rpm for N4CMT versions or for additional 3 hours at \(34^{\circ} \mathrm{C}\) , 300 rpm for AvMBDs. Bacterial cells were pelleted by centrifugation at \(4^{\circ} \mathrm{C}\) , 4000 g for 30 min and stored at \(- 80^{\circ} \mathrm{C}\) . Induction of recombinant proteins was confirmed by SDS- PAGE followed by Western blot hybridization as described in \(^{100}\) . For protein purification, cellular lysates were prepared using xTractor™ Buffer (Clontech), supplemented with lysozyme (Sigma), DNase I (Promega) or Benzoxane® Nuclease (Sigma), and Roche Complete™ EDTA- free Protease Inhibitor Cocktail (Sigma), according to the manufacturers' instructions. Soluble proteins were separated from insoluble debris by centrifugation at \(4^{\circ} \mathrm{C}\) , 4000 g for 30 min. Recombinant N4CMT were purified using TALON® Single Step Columns (Clontech), following the manufacturer's protocol. Proteins were concentrated using Pierce™ 9K MWCO Protein Concentrators (Thermo Scientific), and the buffer was exchanged to \(50 \mathrm{mM}\) phosphate buffer, \(300 \mathrm{mM}\) NaCl, pH 7.0 supplemented with Roche complete™ EDTA- free Protease Inhibitor Cocktail (Sigma). Protein concentrations were equalized based on concentration of the full- length His- tagged protein as detected by Western blotting with His- tag- specific antibodies (Aviva Systems Biology) using Image Studio™ Lite 5.2.5 Software (LI- COR). Purified proteins were stored at \(4^{\circ} \mathrm{C}\) for up to 2 weeks. Recombinant AvMBD's were purified on AKTA Pure M2 with HiTrap TALON 1 ml columns (Cytiva), concentrated with Pierce™ 3K MWCO Protein Concentrators PES (Thermo Scientific), supplied with EDTA, glycerol and protease inhibitors to the final buffer composition of \(40 \mathrm{mM}\) sodium phosphate, pH 7.4; \(240 \mathrm{mM}\) NaCl; \(102 \mathrm{mM}\) imidazole; \(20\%\) glycerol; \(4 \mathrm{mM}\) EDTA; \(1 \mathrm{x}\) complete protease inhibitor cocktail; \(1 \mathrm{x}\) Halt protease inhibitor cocktail; pH 7.4. Proteins were stored in single- use aliquots at \(- 80^{\circ} \mathrm{C}\) . Proteins were quantified using Micro BCA™ Protein Assay Kit (Thermo Scientific), and their purities verified by SDS- PAGE in \(15\%\) resolving gel followed by staining with
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[112, 90, 839, 121]]<|/det|>
+InstantBlue Protein Stain (Expedeon) and Western blotting with S- tag (Novagen) and His- tag (Aviva Systems Biology) specific antibodies, both at 1:5000 dilutions, as described in \(^{100}\) .
+
+<|ref|>text<|/ref|><|det|>[[112, 132, 870, 220]]<|/det|>
+DNA substrate preparation for methylation assays. The A. vaga cultures were maintained as above but fed with dam- /dcm- E.coli (C2925, NEB) strain instead of M28 for a month. Genomic DNA was extracted from adult rotifers starved for 48 hours, following the standard phenol- chloroform extraction protocol \(^{101}\) . To obtain control DNA from different E. coli strains (Table S3), bacteria were grown overnight in LB medium Miller formulation (Amresco) at \(37^{\circ}C\) and 200 rpm, and total DNA was extracted using UltraClean® Microbial DNA Isolation Kit (MoBio Labs).
+
+<|ref|>text<|/ref|><|det|>[[111, 220, 879, 469]]<|/det|>
+For N4CMT in vivo activity assays, plasmids carrying N4CMT sequences were introduced into Rosetta 2(DE3) strain. Bacteria were grown as above, pelleted and stored at \(- 80^{\circ}C\) until expression of recombinant proteins was confirmed by Western hybridization with His- tag- specific antibodies. After that, bacterial pellets were incubated in lysis buffer (10 mM Tris, pH 8.0, 100 mM NaCl, 5 mM EDTA, 120 \(\mu \mathrm{g} / \mathrm{ml}\) Proteinase K (ThermoFischer), \(0.6\%\) SDS) at \(53^{\circ}C\) overnight. Total DNA was purified following the standard phenol- chloroform extraction protocol \(^{101}\) , including treatment with RNaseONE (Promega). DNA quantity and quality were inspected by agarose gel electrophoresis and NanoDrop 2.0 measurements. Cleavage of genomic DNA by McrBC (NEB) was performed overnight at \(37^{\circ}C\) as recommended by the manufacturer, followed by DNA separation in \(0.8\%\) TAE- agarose gel electrophoresis. Plasmids (pUC19, pBlueScript SK+ etc.) for methyltransferase assays were transformed into methylation- free C2925 competent cells (NEB) and purified using Zyppy Plasmid Miniprep (Zymo Research). To obtain a 4mC- positive control for immunoassays, pUC19 was methylated with M.BamHI methyltransferase (NEB). To obtain a positive control for 6mA, pUC19 was purified from NEB5α (dam+) E. coli strain. Oligonucleotides were ordered from Eurofins Genomics and annealed in 1x annealing buffer (10 mM Tris, pH 7.5, 50 mM NaCl, 1 mM EDTA) as follows: the mix was incubated at \(95^{\circ}C\) for 3 min and allowed to cool down to RT for 1 h. Other dsDNA substrates were obtained by PCR and purified using Monarch PCR clean- up kit (NEB) or Zymoclean Gel DNA Recovery kit (Zymo Research).
+
+<|ref|>text<|/ref|><|det|>[[112, 480, 881, 556]]<|/det|>
+In vitro methyltransferase activity assays. Reactions were carried in 1x M.BamHI Methyltransferase Reaction Buffer (NEB) supplemented with 80 \(\mu \mathrm{M}\) S- adenosyl- L- methionine (SAM) provided with the buffer. Optimal results were obtained with \(500 \mu \mathrm{g} / \mathrm{ml}\) as a final concentration of N4CMT recombinant proteins. Reactions were initially incubated at \(25^{\circ}C\) for 4 h, and incubation was continued for another 16 h after supplementing with additional 80 \(\mu \mathrm{M}\) SAM.
+
+<|ref|>text<|/ref|><|det|>[[112, 567, 879, 730]]<|/det|>
+DNA dot blot immunoassays. Samples were spotted on BioTrace™ NT Nitrocellulose Transfer Membrane (Pall Corporation), air- dried and UV- cross- linked with \(120,000 \mu \mathrm{J} / \mathrm{cm}^2\) exposure using SpectroLinker™ XL- 1500 UV crosslinker (Spectronics Corporation). The cross- linked membrane was blocked in \(3\%\) non- fat milk in TBST (containing \(0.05\%\) v/v Tween) and incubated with 1:40,000 anti- N4- methyl- C antibody or with 1:60,000 anti- N6- methyl- A antibody at \(25^{\circ}C\) for 1 h. Rabbit primary antibodies raised against 4mC- or 6mA- modified DNA \(^{102}\) were a kind gift from Dr. Iain Murray (NEB), and were checked for the absence of cross- reactivity, as well as for lack of reactivity with 5mC on human DNA. The membrane was washed three times with TBST, incubated with 1:10,000 goat anti- rabbit HRP antibody (Sigma) at room temperature for 1 h, washed three times with 1x TBST, and developed using SuperSignal™ West Dura Extended Duration Substrate (Thermo Fisher Scientific). Chemiluminescence was detected using the Amersham Imager 600 chemiluminescence imager (GE Healthcare).
+
+<|ref|>text<|/ref|><|det|>[[112, 741, 876, 890]]<|/det|>
+Electrophoretic mobility shift assays. sAvL1- 451 DNA were 5'- end- labeled with [y- 32P]dATP (PerkinElmer) using T4 polynucleotide kinase (NEB) and purified from excess of radioactive nucleotides using Oligo Clean & Concentrator kit (Zymo Research) following the manufacturers' protocols. Binding reactions were set up in 10 \(\mu \mathrm{l}\) total volume in a buffer with final concentrations 100 mM KCl, 10 mM Tris, pH 7.4, 0.1 mM EDTA, 0.1 mM DTT, supplied with 500 ng LightShift™ Poly (dl- dC) (Thermo Scientific). Addition of 2.5 \(\mu \mathrm{l}\) of AvMBD proteins provided \(5\%\) glycerol per reaction. Proteins were first pre- incubated with non- radioactive DNA for 15 min at RT. Then, \(^{32}\mathrm{P}\) - labeled DNA was added to a final concentration of 0.05 nM, and reactions were incubated for additional 30 min at RT. After supplying with 6X EMSA gel- loading solution (Thermo Scientific), samples were loaded onto \(6\%\) DNA Retardation gels. Samples were run at 90 V in 0.5x TBE buffer (44.5 mM Tris- HCl, pH 8.3, 44.5 mM boric acid and 1 mM EDTA) at \(4^{\circ}C\) for
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[113, 90, 833, 121]]<|/det|>
+90 min. Gels were dried using Model 583 Gel Dryer (BioRad), exposed with phosphorimaging plate (Fujifilm), scanned on Typhoon FLA 7000, and analyzed using Image Quant TL v8.1 software.
+
+<|ref|>text<|/ref|><|det|>[[113, 133, 881, 265]]<|/det|>
+DNA extraction for DIP- seq. For genomic DNA extraction, animals were starved for 48 h and treated with ampicillin and tetracycline antibiotics (final concentration of \(10\mathrm{mg / ml}\) and \(0.5\mathrm{mg / ml}\) , respectively) for 24 hours, then harvested as described in \(^{16}\) . Total DNA was extracted with DNeasy Tissue kit (Qiagen), final eluates were checked by agarose gel electrophoresis and final concentrations were measured by Nanodrop. The isolated genomic DNA was diluted to \(\sim 250\mathrm{ng / \mu l}\) using TE buffer and sonicated on the 130 \(\mu \mathrm{l}\) scale (Covaris microtubes) to 200- 400 bp using Covaris S220 focused ultrasonicator (10% duty cycle, 175W peak, 200 cycles, 180 sec, \(6^{\circ}\mathrm{C}\) ). After measuring concentration and size distribution with Bioanalyzer High Sensitivity DNA chip (Agilent), 100 ng of fragmented DNA was used for library construction with NuGen Ovation Ultra Low System v2.
+
+<|ref|>text<|/ref|><|det|>[[112, 277, 877, 543]]<|/det|>
+DIP- seq (MeDIP- seq). After adaptor ligation and purification steps (NuGen Ovation Ultra Low System v2 protocol), DNA fragments were combined with \(0.5\mu \mathrm{g}\) of anti- 4mC or anti- 6mA antibodies (see above) in \(500\mu \mathrm{l}\) of \(1\times \mathrm{IP}\) buffer and incubated at \(4^{\circ}\mathrm{C}\) for \(6\mathrm{h}\) . In parallel, \(40\mu \mathrm{l}\) of Protein A magnetic beads were prepared as in \(^{73}\) . Protein A beads were added to DNA- antibody mixture and incubated at \(4^{\circ}\mathrm{C}\) overnight with rotation. Beads were washed four times with \(1\times \mathrm{IP}\) buffer on a magnetic rack. \(20\mu \mathrm{l}\) of proteinase K (20 mg/ml) were used to release the methylated DNA with \(3\mathrm{h}\) of incubation at \(50^{\circ}\mathrm{C}\) . The final eluate was purified using \(2\times\) phenol- chloroform- isoamyl alcohol (25:24:1) extraction and ethanol precipitation. DNA was resuspended in \(35\mu \mathrm{l} \mathrm{H}_{2}\mathrm{O}\) , followed by library amplification and bead purification (NuGen RNAClean XP magnetic beads). Quality control and concentration measurement were performed using Bioanalyzer DNA 1000 chip (Agilent) and Qubit sDNA HS Assay kit (Thermo). Libraries were sequenced using the Illumina HiSeq 2500 platform (50- bp SR) at the Brown University Sequencing Core Facility. Base calling was performed with the standard Illumina pipeline (Casava 1.8.2). Illumina adaptors were trimmed with cutadapt \(^{103}\) , as well as any sequence with low quality score (text<|/ref|><|det|>[[112, 553, 876, 818]]<|/det|>
+Genome assembly. The initial A. vaga L1 isolate draft assembly was generated with high quality paired- end Illumina MiSeq reads using SPAdes assembler to yield N50 of 18.125 kb \(^{33}\) . However, the published AvL1 assembly filtered any sequences without blastn matches to Av- ref, which may include recent horizontal transfers and TEs. To improve the initial assembly, DNA was extracted from rotifer eggs as in \(^{39}\) , and a 20- kb library was constructed using BluePipipin selection to sequence 15 SMRT cells on a PacBio RS II sequencer (Pacific Biosciences) at the Johns Hopkins University Deep Sequencing and Microarray Core facility with P6- C4 chemistry (accession number PRJNA558051). We used PBJelly from PBSuite 15.8.24 \(^{106}\) with PacBio filtered subreads to improve the initial AvL1 assembly. A total of 890,504 PacBio subreads with N50 read length of 16,294 bp was used after SFilter (Pacific Biosciences) and spike- in control removal. The improved hybrid assembly was filtered from contaminants using bacterial single- copy genes, GC- content, k- mer frequencies (k=4), and DNA coverage values (both Illumina and PacBio) following \(^{107}\) . Assembled contaminant contigs, mostly of bacterial origin, were filtered out to yield a final assembly totaling 217.1 Mb in 9,856 contigs (Table S5), which is very close to the 218- Mb Av- ref assembly \(^{16}\) and improves by 20 Mb the Illumina- only assembly, increasing N50 from 22.1 kb to 87.4 kb. We also identified 12 chimeric contigs, listed in Supplementary Data File S4, which were mostly eukaryotic with an attached small stretch of bacterial DNA showing high methylation density. The AvL1 assembly used in this work was deposited in Genbank (accession No. JAGENE000000000) and can be downloaded at https://jbpc.mbl.edu/media/frodriguez/public/AvL1/.
+
+<|ref|>text<|/ref|><|det|>[[112, 829, 875, 904]]<|/det|>
+PacBio modification analysis. We examined genome- wide distribution of modified bases in SMRT- seq data \(^{108}\) with SMRT Analysis Software 2.3.0. Raw data from 15 AvL1 SMRT cells were filtered by SFilter (Pacific Biosciences) to remove reads containing adapters, short reads and low- quality reads with cutoffs for read quality \(\leq 0.75\) , read length \(\leq 50\) nt, and subread length \(\leq 50\) nt. Filtered reads were aligned to the AvL1 assembly using RS_Modification_Detection.1 protocol (Pacific Biosciences). Briefly, the cleaned
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[113, 90, 876, 278]]<|/det|>
+reads were aligned to AvL1 curated genome assembly using blasr 109. The polymerase kinetics information was processed and reported as IPD ratio, with its fraction (the methylated portion of reads mapped) at each site. The 4mC and 6mA base modifications were identified, and the final report was extracted as csv and gff files for posterior processing. Filtering was performed by selecting only 4mC and 6mA marks with 20x coverage and mQv≥22 (Table S6); any sites with coverage <10x were removed. Although SMRT analysis may sometimes erroneously identify 5mC as 4mC, as occurred for the fig genome 110, which has a full complement of plant 5mC- MTases but no N4C- MTases, we are confident that multiple orthologous methods applied to A.vaga, which lacks 5mC- MTases but has the N4C- MTase, validate our SMRT- seq cytosine modification calls as 4mC. Additional analyses were done with custom scripts for plotting results with R. We separated 4mC and 6mA according to their methylation levels: low- fraction sites (0.1- 0.5), moderately methylated (0.5- 0.8) and highly methylated (0.8- 1). The upstream and downstream 10- bp sequences from 4mC and 6mA modification sites were extracted for motif identification in each group by MEME- ChIP 111.
+
+<|ref|>text<|/ref|><|det|>[[112, 290, 880, 542]]<|/det|>
+Dot- blot immunoassays for histone marks. We first assayed, by dot- blot analysis, the reactivity of A. vaga histone methylation marks with Premium ChIP- seq grade affinity- purified rabbit polyclonal antibodies H3K4me3, H3K9me3 and H3K27me3, raised against synthetic peptides with the corresponding trimethylated lysines (Diagenode C15410003, C15410056 and C15410195, respectively). These antibodies display a wide range of species reactivity including vertebrates, Drosophila, C. elegans and plants, and have been tested by ChIP- seq, IF, Western blotting, and ELISA. The H3 N- terminal residues 1- 31 display 100% identity between A. vaga and humans; although formally cross- reactivity of K9/27 cannot be excluded for A. vaga, however none was observed in human peptide arrays spanning identical aa sequence (Diagenode). Protein extracts from Av- ref and AvL1, resuspended in 0.5 v of extraction buffer (10 mM Hepes, 5 mM MgCl2, 2 mM DTT, 10% glycerol and cOmplete protease inhibitor tablets (Roche)), were spotted on BioTrace™ NT Nitrocellulose Transfer Membrane (Pall Corporation), air dried and blocked in 5% BSA in TBST (containing 0.05% v/v Tween) for 1 h at RT and incubated with 1:10,000 anti- H3K4me3, H3K9me3 or H3K27me3 antibodies at RT for 1 h. The membrane was washed three times with TBST, incubated with 1:10,000 goat anti- rabbit HRP antibody (Sigma) at room temperature for 1 h, washed three times with 1x TBST, then once with TBS and developed using SuperSignal™ West Dura Extended Duration Substrate (Thermo Fisher Scientific). Chemiluminescence was detected using the Amersham Imager 600 chemiluminescence imager (GE Healthcare).
+
+<|ref|>text<|/ref|><|det|>[[112, 551, 880, 905]]<|/det|>
+ChIP- seq. Chromatin immunoprecipitation (ChIP) was performed based on the C. elegans protocol 112 with minor modifications. Briefly, rotifers were starved for 48 h before collection, and live animal pellets were washed with PBS, followed by another round with protease inhibitor (cOmplete Roche tablet). The 1- ml pipette tip was used to drip mix into a porcelain mortar containing liquid nitrogen, and the frozen rotifer "popcorn" was ground to fine powder with a pestle. Nuclear proteins were cross- linked to DNA by adding 1.1% formaldehyde (Thermo) in PBS + 1x protease/phosphatase inhibitors (Halt™ Protease & Phosphatase Inhibitor Cocktail, Thermo) for 10 min at room temperature on a rocking platform. Cross- linking was stopped by adding glycine to a final concentration of 0.125 M and incubating for 5 min at room temperature. The medium was removed, and the cells were washed twice with ice- cold PBS containing 1 mM PMSF. The cells were then collected in FA lysis buffer (FA buffer + 0.1% sarkosyl + protease/phosphatase inhibitors); FA buffer: 50 mM HEPES/KOH pH 7.5, 1 mM EDTA, 1% Triton™ X- 100, 0.1% sodium deoxycholate; 150 mM NaCl. Subsequently, the chromatin was isolated, sonicated (Covaris S220: 2% Duty Cycle, 105W Peak, 200 Cycles, 360 sec, 6°C), and immunoprecipitated with anti- H3K4me3 antibody, anti- H3K27me3 antibody, anti- H3K9me3 antibody (all from Diagenode) or no antibody (input control). After reverse- cross link (overnight at 65°C), DNA was purified by using 2x phenol- chloroform- isoamyl alcohol (25:24:1) extraction and ethanol precipitation. DNA was resuspended in 35 μl 10 mM Tris- Cl, pH 8.5. The ChIP DNA and input DNA were used to construct ChIP- seq libraries using NEBNext Ultra II DNA Library Prep Kit (NEB) following the manufacturer's procedure. The libraries were sequenced on Illumina NextSeq 500 platform for 75 bp single- end HT at the W.M. Keck Sequencing Facility at the MBL. After demultiplexing and adapter trimming (bcl2fastq software, Illumina), the raw reads were cleaned up to obtain high- quality reads (see parameters in IP- seq). Clean reads were mapped to Av- ref and AvL1 assemblies using bowtie2 113 with default parameters. Genomic regions associated with histone modification were identified using Model- based Analysis of ChIP- Seq (MACS2) 105 using default parameters.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[113, 102, 875, 234]]<|/det|>
+RNA- seq. For A. vaga Av- ref transcriptome, total RNA was extracted from animals at all life- stages with TRIzol® (Invitrogen) following manufacturer's protocol with a glass Dounce homogenizer. After DNase I (NEB) treatment on RNA Clean & Concentrator columns C- 5 (Zymo Research), A. vaga total RNA was eluted and subjected to poly- A selection with Ambion MicroPoly(A) Purist Kit (Thermo Fischer). Libraries were prepared with Encore Complete Library RNA- Seq Library Systems (NuGen). A total of 3 biological replicas were sequenced on a dedicated Illumina NextSeq Mid lane (1x150bp) and, after QC (http://hannonlab.cshl.edu/fastx_toolkit/) and adapter trimming (Cutadapt v1.9.2) \(^{103}\) , mapped to Av- ref \(^{16}\) with Tophat 2.1.1 \(^{114}\) , using default parameters and - - max- intron- length 100. Aligned sequence reads were counted by genomic feature with HTSeq- count \(^{115}\) , using default parameters.
+
+<|ref|>text<|/ref|><|det|>[[113, 234, 880, 369]]<|/det|>
+For AvL1 transcriptome, RNA extraction was performed following \(^{16}\) for the fully hydrated A. vaga L1 cultures containing animals at all life- stages. Rotifers were collected by centrifugation at 10,000 rpm. After removal of the supernatant (spring water), total RNA was extracted with Trizol (Invitrogen) followed by ethanol precipitation. After DNaseI treatment (DNA- free, Ambion), 1 μg of total RNA was shipped for QC, library preparation (eukaryotic mRNA protocol) and Illumina sequencing (HiSeq x PE150bp) to Novogene Co., Ltd. Raw reads (~3.3 Gb) from two lanes as technical replicates were processed (see parameters in IP- seq), and properly paired reads were aligned to the AvL1 assembly using TopHat v2.1.1 \(^{116}\) , using default parameters and - - max- intron- length 100. Mapped reads were counted within each feature with HTSeq- count \(^{115}\) using default parameters, which was used to calculate RPKMs of annotated genes.
+
+<|ref|>text<|/ref|><|det|>[[113, 379, 870, 614]]<|/det|>
+Prediction of protein- coding genes. BRAKER \(^{117}\) , a combination of GeneMark- ET \(^{118}\) and AUGUSTUS \(^{119}\) , was used to predict protein- coding genes in the AvL1 genome using aligned RNA- seq data. TopHat alignments were used to generate UTR training examples for AUGUSTUS to train UTR parameters and predict genes. This procedure was done with - - softmasking enabled, after masking the genome with RepeatMasker (see Repeat annotation). Total predictions comprised 74,569 gene models originating from 74,233 loci. Initial predictions were filtered from TE genes using AvL1 TE annotations (RepeatMasker) and BLAST homology search to known TE proteins. BLAST searches were performed with 74,569 gene predictions using blastp (blast+) and blastx (diamond blast) onto nr and uniref90 databases, respectively. BLAST descriptions with TE- related terms ("transposon", "transposable", "integrase", "reverse transcriptase", "pol", "gag") were considered as TE- associated proteins. A total of 977 genes were classified as AvL1 TE- related. A further quality check of gene annotations filtered incomplete genes. Annotations at the contig boundaries were removed (n = 5205), along with CDS that carried a premature stop codon (n = 282) or without appropriate termination codon at the CDS end (n = 2748, which mostly fall on contig boundaries). A final filter was applied to remove annotations with no BLAST homology (neither nr nor uniprot) and for which CDS sequence was under 300 bp. A final gene set of 65,934 annotations was used for downstream analysis.
+
+<|ref|>text<|/ref|><|det|>[[113, 624, 874, 817]]<|/det|>
+Repeat annotation. We used the REPET package with default settings for initial AvL1 de novo TE identification and annotation \(^{120}\) . The automated library of TE families was subjected to extensive manual curation, as was previously done for Av- ref \(^{16}\) , and used as database for searching and annotating TE copies in the AvL1 assembly with RepeatMasker \(^{121}\) . We used RMBlast (National Center for Biotechnology Information Blast modified for use with RepeatMasker) as search engine. Initial RepeatMasker output was filtered for copies covering less than 5% of reference TE length. The output was converted into gff3 format for subsequent analysis. TE annotation was intersected with gene prediction models to eliminate any duplication events spanning both databases and to obtain a list of TE- encoded genes for further analysis. For tandem repeat (TR) identification, AvL1 assembly was uploaded to Tandem Repeats Database \(^{122}\) . We generated an initial set of TRs by analyzing the sequence of each contig using Tandem Repeats Finder \(^{123}\) with default parameters (match=2, mismatch=7, indels=7, minimal alignment score=50). Further searches with modifications in the alignment score (size of the repeat unit) were performed, and manual correction was carried out when necessary.
+
+<|ref|>text<|/ref|><|det|>[[113, 829, 875, 904]]<|/det|>
+Small RNA analysis. A. vaga sRNA- seq data (SRA accession no. SRP070765) for two wildtype small RNA replicas were mapped to Av- ref genome as described in \(^{48}\) . Heatmaps of sRNA- Seq data for genes, TEs, and DIP- seq and ChIP- seq peaks were generated with deepTools \(^{124}\) for each annotation. Reads normalized to 1x sequencing depth (RPGC or reads per genomic content) were used for normalization in heatmaps.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[57, 90, 878, 252]]<|/det|>
+Methylation data processing and visualization. For generation of heat maps and profile plots, the DeepTools \(^{124}\) computeMatrix, plotHeatmap and plotProfile scripts were used with specific parameters: RPGC normalization, bin size 10, effective genome size (Av 213837663 and AvL1 217117546), extendReads (IP-seq 50, ChIP-seq 75, sRNA-seq 50), interpolationMethod nearest. The annotatePeaks function from HOMER Tools \(^{125}\) was used to obtain methylation profiles of selected regions of interest, using different window and bin sizes (parameters given in figure legends). Overlapping values of different annotated features (DIP/ChIP-seq peak, base modification) were estimated with bedtools v2.27.1 \(^{126}\), whether they are intersecting (bedtools intersect) or after providing a specific size window (bedtools window). Genome-wide 4mC/6mA visual representations were generated using Circos \(^{127}\): Av-ref reads were plotted from two genomic Illumina libraries (SRP020364) with different insert size (450 and 862 bp); AvL1 reads were plotted from Illumina (SRR8134454) and PacBio (SRX6639068).
+
+<|ref|>text<|/ref|><|det|>[[115, 259, 878, 377]]<|/det|>
+Collinearity analysis. Syntenic regions within and between genomes were identified using MCScanX \(^{128}\) after blastp all-versus-all (e- val = 1e- 10, maximum number of target sequences = 5) of the protein annotations from both genomes (Av- ref and AvL1). We searched for collinear block regions with at least 3 homologous genes and 20 maximum gaps allowed. The Ks and Ka (synonymous and nonsynonymous substitution, respectively) values between pairs of collinear genes were calculated with the script add_kaks_to_MCScanX.pl (https://zenodo.org/badge/latestdoi/92963110). We also searched for collinearity breaks between adjacent homologous blocks, defined as regions where homologous blocks could not be aligned along scaffolds without some rearrangements.
+
+<|ref|>text<|/ref|><|det|>[[115, 384, 877, 560]]<|/det|>
+Phylogenetic analyses. MTase homologs in bdelloids were identified by tblastn searches of GenBank WGS databases at NCBI, checked for the presence of metazoan genes in the vicinity, translated with validation of exon- intron structure, and used in blastp searches of REBASE \(^{1}\) to obtain MTases with known recognition sequences. Multiple sequence alignments were performed by MUSCLE v.3.8.31 \(^{129}\). Amino acid sequences were clustered by neighbor- joining, as MTases are not amenable to conventional phylogenetic analysis due to hypervariability of the target recognition domain, and the tree was visualized in MEGA \(^{130}\). MBD- containing bdelloid proteins were identified by profile HMM search \(^{131}\) with the MBD query (PF01429). Av- ref SETDB1 homologs from Genoscope annotation were manually re- annotated to improve quality, and full- length proteins were used as queries in blastp searches of refseq_protein database at NCBI to obtain additional orthologs from 10 bdelloid species and representative protostome taxa. Maximum likelihood phylogenetic analysis was done with IQTREE v1.6.11 \(^{132}\) using best- fitting model selection and 1,000 ultrafast bootstrap replicates. Ago/Piwi counts in AvL1 were done as in \(^{47}\).
+
+<|ref|>text<|/ref|><|det|>[[115, 567, 868, 641]]<|/det|>
+Data and Code Availability: Sequences obtained in this study were deposited under BioProject PRJNA558051 (SRA accession Nos. SRR9886612, SRR9900832- 45 for individual SMRT cells). The Avaga_MBL_L1 genome assembly was deposited under accession No. JAGENE000000000. The ChIPseq, MeDIP-seq and RNA-seq datasets were deposited in GEO under accession Nos. GSE140049- 52. All materials and (non- essential) custom scripts are freely available without restrictions.
+
+<|ref|>text<|/ref|><|det|>[[115, 648, 820, 678]]<|/det|>
+Reporting Summary: Further information on research design is available in the Nature Research Reporting Summary linked to this article.
+
+<--- Page Split --->
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+## Supplementary Files
+
+<|ref|>text<|/ref|><|det|>[[44, 93, 765, 113]]<|/det|>
+This is a list of supplementary files associated with this preprint. Click to download.
+
+<|ref|>text<|/ref|><|det|>[[60, 130, 386, 257]]<|/det|>
+nreditorialpolicychecklist.pdf nrreportingsummary.pdf accesstosequencingdata.docx SupplementaryTableS11. xlsx SupplementaryDataFilesS1S4. xlsx
+
+<--- Page Split --->
diff --git a/preprint/preprint__0358cbd719cad92a5106a1d23b164c7a9ee9af38881e700bf32a1c27078c4f3f/images_list.json b/preprint/preprint__0358cbd719cad92a5106a1d23b164c7a9ee9af38881e700bf32a1c27078c4f3f/images_list.json
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+ "caption": "Figure 2. Initial investigation of the reaction under blue and red light with respective photocatalysts.",
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+ "caption": "Figure 3. Scope of the sulfonyltrifluoromethylation of olefins \\(^{a}\\) . \\(^{a}\\) Yields are reported as isolated yield. \\(^{b}\\) dr value was determined by \\(^{1}\\) H NMR.",
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+ "caption": "Figure 6. NMR spectra of the analysis for \\(\\mathrm{Cu - CF_3}\\) complex. Experiment A: Model reaction in the absence of styrene after \\(1h\\) and \\(4h\\) . Experiment B: Experiment A with the addition of bpy (0.5 or 1.5 equiv.) as ligand. Experiment C: Model reaction by replacing \\(\\mathrm{CuCl_2}\\) with \\(\\mathrm{Me_4NCu^{III}(CF_3)_4}\\) complex. Experiment D: Model reaction by replacing \\(\\mathrm{CuCl_2}\\) with fresh \\(\\mathrm{Cu}\\) powder.",
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+
+# Probing charge redistribution at the interface of self-assembled cyclo-P5 pentamers on Ag(111)
+
+Rémy Pawlak
+
+remy.pawl ak@unibas.ch
+
+University of Basel https://orcid.org/0000- 0001- 8295- 7241
+
+Outhmane Chahib University of Basel
+
+Yulin Yin Chinese Academy of Sciences
+
+Jung-Ching Liu University of Basel https://orcid.org/0000- 0002- 9472- 3343
+
+Chao Li Department of Physics, University of Basel https://orcid.org/0000- 0003- 2125- 9989
+
+Thilo Glatzel University of Basel https://orcid.org/0000- 0002- 3533- 4217
+
+Feng Ding Shenzhen Institute of Advanced Technology, Chinese Academy of Sciences https://orcid.org/0000- 0001- 9153- 9279
+
+Qinghong Yuan East China Normal University https://orcid.org/0000- 0003- 4683- 2112
+
+Ernst Meyer https://orcid.org/0000- 0001- 6385- 3412
+
+## Article
+
+Keywords: cyclo- P- 5 pentamer, work function, atomic force microscopy, scanning tunneling microscopy, field- emission resonance spectroscopy, density functional theory
+
+Posted Date: January 30th, 2024
+
+DOI: https://doi.org/10.21203/rs.3.rs- 3777510/v1
+
+License: © This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+<--- Page Split --->
+
+Version of Record: A version of this preprint was published at Nature Communications on August 2nd, 2024. See the published version at https://doi.org/10.1038/s41467-024-50862-4.
+
+<--- Page Split --->
+
+# Probing charge redistribution at the interface of self-assembled cyclo- \(P_{5}\) pentamers on Ag(111)
+
+Outhmane Chahib, \(^{1}\) Yulin Yin, \(^{2}\) Jung- Ching Liu, \(^{1}\) Chao Li, \(^{1}\) Thilo Glatzel, \(^{1}\) Feng Ding, \(^{2}\) Qinghong Yuan, \(^{3}\) Ernst Meyer \(^{1,*}\) & Rémy Pawlak \(^{1,*}\)
+
+\(^{1}\) Department of Physics, University of Basel, Klingelbergstrasse 82, 4056 Basel, Switzerland \(^{2}\) Faculty of Materials Science and Engineering/Institute of Technology for Carbon Neutrality, Shenzhen Institute of Advanced Technology, Chinese Academy of Sciences, Shenzhen 518055, China
+
+\(^{3}\) State Key Laboratory of Precision Spectroscopy School of Physics and Electronic Science, East China Normal University, 500 Dongchuan Road, Shanghai 200241, China
+
+## Abstract
+
+Phosphorus pentamer (cyclo- \(P_{5}^{- }\) ) ions are unstable in nature but can be synthesized at the Ag(111) surface. Unlike monolayer black phosphorous, little is known about their electronic properties when in contact with metal electrodes, although this is crucial for future applications. Here we characterize the atomic structure of cyclo- \(P_{5}\) assembled on Ag(111) using atomic force microscopy with functionalized tips and density functional theory. Combining force and tunneling spectroscopy, we find that a strong charge transfer induces an inward dipole moment at the cyclo- \(P_{5}\) /Ag interface as well as the formation of an interface state. We probe the image potential states by field- effect resonant tunneling
+
+<--- Page Split --->
+
+and quantify the increase of the local change of work function of \(0.46 \mathrm{eV}\) at the \(cyclo - P_{5}\) assembly. Our results suggest that the high- quality of the \(cyclo - P_{5} / \mathrm{Ag}\) interface might serve as a prototypical system for electric contacts in phosphorus- based semiconductor devices.
+
+Keywords: \(cyclo - P_{5}^{- }\) pentamer, work function, atomic force microscopy, scanning tunneling microscopy, field- emission resonance spectroscopy, density functional theory
+
+## Introduction
+
+Elemental phosphorus (P) is not only ubiquitous in human life, it is also one of the most fascinating areas of chemistry as it can exist in a large diversity of allotropes, \(^{1 - 3}\) in various cluster configurations \(^{4,5}\) or in organic compounds. \(^{6}\) The phosphorous polymorphism is even multiplied on the atomic- scale when using a surface to constrain the reaction in two dimensions (2D). As in the field of on- surface chemistry producing complex nanographene structures in ultra- high vacuum (UHV), \(^{7,8}\) surface- assisted phosphorus reactions on metals have synthesized blue phosphorus, \(^{9}\) P chains \(^{10}\) or even planar \(cyclo - P_{5}\) rings. \(^{11,12}\) Since then, phosphorus allotropes have emerged as a promising one- atom thick 2D material beyond graphene, due to its moderate direct band gap (0.3 to \(2.0 \mathrm{eV}\) ) \(^{13}\) suitable for nanoelectronics and nanophotonics applications. \(^{14,15}\) However, allotropic configurations, their atomic buckling, defects or potential alloy formation can be detrimental for the semiconducting character. In addition, the interaction of 2D materials with delocalized electrons of a
+
+<--- Page Split --->
+
+metal, as well as the dynamical charge transfer between the two media, are key factors in fostering new gate- tunable functionalities such as superconductivity. \(^{16,17}\) Experimental study of these aspects at the fundamental level is therefore essential for future quantum applications where metallic electrical contacts are required. \(^{18}\)
+
+Low- temperature scanning probe microscopy is an incontrovertible tool for assessing atomic structures in contact to metals and characterizing their electronic properties with high spectral resolution in UHV. Atomic force microscopy (AFM) with functionalized tips \(^{19,20}\) has opened new avenues into the real- space imaging with improved lateral and vertical resolution of aromatic molecules, cyclo- carbon \(^{21}\) and monoelemental 2D materials, \(^{22,23}\) while charge distributions and work function changes at the nanometer scale are also accessible using Kelvin probe force microscopy (KPFM). \(^{24 - 27}\) The investigation of the local density of states (LDOS) of 2D materials near the Fermi level is readily achieved by means of scanning tunneling microscopy and spectroscopy (STM/STS). Tunneling spectroscopy can also probe the IPS of 2D synthetic materials such as graphene, \(^{28}\) germanene \(^{29}\) or borophene. \(^{30,31}\) Quantifying these Stark- shifted unoccupied states lying below the vacuum level give not only access to the fundamental physical processes involved in charge carrier dynamics but also to quantify local modulations of the work function at the interface between 2D materials and metals.
+
+By applying this in- situ methodology, we determine here the structure of phosphorus
+
+<--- Page Split --->
+
+chains and self- assembled \(cyclo - P_{5}\) pentamers on Ag(111) using low- temperature (4.5 K) AFM imaging with CO- terminated tips. KPFM spectroscopic measurements indicates the formation of an inwards dipole moment at the \(P_{5} / \mathrm{Ag}\) interface, which results from the charge transfer from the Ag substrate to the network as confirmed by DFT calculations. This charge transfer leads to a complex charge redistribution and the formation of an interfacial hybridized state (IS). Through field- emission resonance tunneling (FERT) and STS spectroscopy, we determined the energy position of the IS state and the series of IPS at the \(cyclo - P_{5}\) assembly as compared to pristine Ag, confirming an increase of the local work function of \(\sim 0.46 \mathrm{eV}\) . Given the strong interest in tailoring the physical characteristics of monoelemental 2D materials contacted to a metal, we think that the \(cyclo - P_{5} / \mathrm{Ag}\) interface might serve as a model system for future devices involving electric contacts.
+
+## Atomic-scale imaging of phosphorus chains and \(cyclo - P_{5}\) pentamers
+
+Phosphorus atoms were sublimed in UHV onto the Ag(111) substrate kept at about \(150^{\circ} \mathrm{C}\) (see Methods). Figure 1a shows an STM overview image of the resulting structures for a relative coverage of less than 0.3 monolayer (ML). Extended 1D chains aligned along the \([1\bar{1} 0]\) directions of Ag(111) (marked 1 in Fig. 1a) coexist with domains of \(P_{5}\) molecules (2), as recently reported in references. \(^{10,11}\) The inset of Fig. 1a further shows a STM image of the double and triple chains, that depends on the P deposition rate. \(^{11}\) Each chain configuration has a relative STM height of 1.6 Å, and a width of 11 Å, 17 Å, and 26 Å for the single, double and triple chains, respectively.
+
+<--- Page Split --->
+
+To precisely determine their atomic configurations, we employed AFM imaging with CO- terminated tips (see Methods, Figs. 1c- d).19 A common AFM contrast is observed for all configurations assigned to an armchair structure of the chain, which resembles that of hydrocarbon chains.32 The relaxed structure of the triple chain configuration calculated from DFT is shown in Fig. 1e. Phosphorus atoms colored in orange sit on bridge sites of the Ag lattice (gray) and are aligned along one \([1\bar{1} 0]\) direction in accordance with the experimental data. Based on the DFT coordinates we simulated the AFM image (see Methods, Fig.1f). The excellent agreement with the experimental image of Fig. 1d confirms the armchair structure of the P chains on Ag(111).
+
+Increasing the P coverage to about 0.4 ML while keeping the substrate at \(150^{\circ}\mathrm{C}\) leads to the formation of large islands of \(cyclo - P_{5}\) pentamers relative to the chains (Fig. 2a).12 In Fig. 2b, the close- up STM image reveals the structure of the self- assembled domains consisting of an hexagonal lattice with parameters \(a_{1} = b_{1} = 7.3 \AA\) . Each bright protrusion corresponds to one \(cyclo - P_{5}\) molecule as schematized by the black dashed pentagons. Domains of \(cyclo - P_{5}\) rings also exhibit a superstructure characterized by stripes separated by \(\approx 3.8 \mathrm{nm}\) (i.e. 6 \(P_{5}\) rows) as shown by black dotted lines in Fig. 2a. These lines are rotated by \(19^{\circ}\) as compared to the \([1\bar{1} 0]\) directions of the Ag(111) substrate, which agrees with previous experimental works11 as well as the relaxed structure obtained by DFT calculations (Fig. 2d).12 A deeper insights into the chemical structure of the \(cyclo - P_{5}\) molecules is provided by the AFM image of Fig. 2c. The P- P bond length within the pentagon extracted by AFM is about
+
+<--- Page Split --->
+
+2.2 Å, which is comparable to the value of 2.185 Å obtained by DFT. For comparison, we also simulated the AFM image based on the DFT coordinates, allowing us to confirm the exact position and structure of the \(P_{5}\) molecules in their self-assembly in registry with the Ag(111).
+
+To accurately quantify the atomic corrugation within the cyclo- \(P_{5}\) structure, we acquired a series of site- dependent \(\Delta f(Z)\) spectroscopic curves (Fig. 2f), at the locations marked in the inset AFM image. The black and gray curves were obtained on Ag and between two pentamers, respectively. On top of neighboring atoms of a cyclo- \(P_{5}\) (orange and brown curve), the spectra exhibits a characteristic dip arising from the interaction between the front- end oxygen atom of the CO- terminated tip with the phosphorus atom. The dashed vertical lines indicate the \(Z\) position of their bottoms and is the signature of the relative atomic \(Z\) height. \(^{23}\) The difference \(\Delta Z\) of \(\approx 20 - 30\) pm thus represents the intrinsic atomic corrugation within the cyclo- \(P_{5}\) pentagonal structure, \(^{5}\) which is comparable with atomic corrugations in graphene \(^{33}\) or planar molecules. \(^{34}\) Thus, this confirms the planarity of the cyclo- \(P_{5}\) structure, \(^{5}\) as reflected in the constant- height AFM image of Fig. 2e.
+
+## Charge distribution at the cyclo- \(P_{5}\) /Ag interface
+
+The binding energy of \(P_{5}\) pentamers has been calculated by DFT to be strong on Ag(111), allowing the stabilization of the cyclo- \(P_{5}\) structure through a charge transfer. \(^{12}\) To provide
+
+<--- Page Split --->
+
+insights into the charge distribution at the \(cyclo - P_{5} / Ag\) interface, we performed force versus voltage spectroscopic measurements (see Methods). Experimentally, the frequency shift \(\Delta f\) as a function of the sample bias \(V_{\mathrm{s}}\) is measured at a constant tip height \(Z\) , providing in the \(\Delta f(V)\) curve a parabola due to the electric force acting between tip and sample. The voltage \(V^{*}\) at top of the parabola represents the local contact potential difference (LCPD) between tip and sample, which allows one to image charge distributions and work function changes with nanoscale resolution. \(^{24 - 27}\) Figure 3a shows a \(\Delta f(V)\) cross- section acquired across a \(P_{5}\) domain (see STM inset of Fig. 3a). Single \(\Delta f(V)\) point- spectra on top of the \(P_{5}\) network (orange) and on Ag(111) (black) are plotted in Fig. 3b, respectively. Dashed lines in both figures refers to the \(V^{*}\) position. The LCPD value systematically shifts towards positive values ( \(\Delta V^{*} \approx 0.22 \mathrm{V}\) ) for the pentamer assembly as compared to the pristine Ag substrate. This indicates the accumulation of charges at the \(P_{5}\) network as compared to the Ag substrate.
+
+To better rationalize this, we calculated the charge redistribution at the \(cyclo - P_{5} / Ag\) interface (see Methods), whose top and side views of isosurfaces of electron accumulation (blue, \(+13 \times 10^{- 3} \mathrm{e} / \mathrm{\AA}^{3}\) ) and depletion (red, \(- 13 \times 10^{- 3} \mathrm{e} / \mathrm{\AA}^{2}\) ) are displayed in Fig. 3c. An electron transfer from the Ag(111) substrate to the P atoms of the pentamers (is observed as a charge accumulation located at the \(cyclo - P_{5}\) ring (red). In the \(P_{5} / Ag\) gap (marked by white and black dashed lines in the side view of Fig. 3c), charge accumulation/depletion layers emerges below each \(cyclo - P_{5}\) structure, which supports the formation of an hybridized state. \(^{30,31}\) We emphasize that such an interface state is not restricted to 2D Xenes on metals
+
+<--- Page Split --->
+
+since it is well- established in organic/metal systems. \(^{35}\)
+
+Between cyclo- \(P_{5}\) rings, we note the absence of in- plane charge redistribution. Considering that the last Ag layer is depleted (red) while each cyclo- \(P_{5}\) has an excess of charges (blue), the \(P_{5}\) assembly can be approximated to a lattice of surface dipole moments of \(D = 1.42\) Debye pointing towards the substrate (see arrow in Fig. 3c). This observation is consistent with an increase of the LWF at the \(P_{5} / \mathrm{Ag}\) interface induced by an inwards dipole moment as schematized in Fig. 3d, which is in agreement with the increase of the LCPD in force spectroscopy. It is important to mention here that the LCPD value has a strong distance- dependence on metal substrate, which is good indicate of the local work function changes at the atomic scale, but prevents quantitative determination. \(^{36,37}\) Indeed, the \(\Delta V^{*}\) cannot directly account for the difference of work function \(\Delta \phi = \phi_{P_{5} / A_{S}} - \phi_{A_{S}}\) shown in Fig. 3d, due to averaging effects of the electrostatic interactions between tip and sample. Last, the presence of an interfacial state can alter the amount of charge transfer away from an integer number compared to those with weaker interactions or adsorbed on insulating layers. Indeed, the Bader charge analysis show an accumulation of electrons on P atoms (- 0.115 e) and an electron depletion (+0.057 e) of the depleted Ag layer. Thus, we conclude that the cyclo- \(P_{5}\) does not have a pure anionic character for the \(P_{5}\) molecule when adsorbed on Ag(111) (i.e. cyclo- \(P_{5}^{- }\) ), as expected by theory for its gas- phase counterpart.
+
+<--- Page Split --->
+
+## Interface state and work function of the cyclo- \(P_{5}\) assembly
+
+To shed more lights into the electronic properties at the \(P_{5} / \mathrm{Ag}\) interface, we next performed differential conductance measurements ( \(\mathrm{d}I / \mathrm{d}V\) ) across one \(P_{5}\) domain (see Methods). Figure 4a shows the typical \(\mathrm{d}I / \mathrm{d}V\) point- spectra spectra of the network (orange) as compared to Ag(111) (black). We assign the gap of the \(P_{5}\) assembly to about 0.9- 1.0 eV (dashed lines) similar to Ref. \(^{11}\) The spectra also shows a strong resonance at 2.5 V, which we attribute to tunneling into the interface state (IS), respectively. \(\mathrm{d}I / \mathrm{d}V\) maps (Fig. 4b) further reveal the density of states at the valence band at \(V_{\mathrm{s}} = - 0.5 \mathrm{V}\) . This atomic feature evolves to a stripe pattern at \(V_{\mathrm{s}} = +2.5 \mathrm{V}\) (Fig. 4c), revealing the spatial modulation of the IS state (Fig. 4c) similar to the superstructure shown in STM topographic image of Fig. 2a. This state, which derived from the occupied Shockley state of the clean Ag(111) surface, is upshifted by more than 2 eV and becomes unoccupied by the presence of the \(P_{5}\) assembly. \(^{35}\)
+
+To quantify the local change of work function (LWF), we acquired field- effect resonant tunneling (FERT) spectra in order to probe IPS between the cyclo- \(P_{5}\) assembly and silver. \(^{28 - 31}\) Experimentally, FERT spectra (also called \(\mathrm{d}Z / \mathrm{d}V\) spectroscopy) are obtained by sweeping the sample voltage \(V_{\mathrm{s}}\) while measuring \(\mathrm{d}I / \mathrm{d}V\) at constant- current by adjusting the tip height \(Z\) using the STM feedback loop (see Methods). From a quasi- classical approximation (Fig. 4d), tunneling resonances spectrum occurs when the Fermi level of the tip aligns with the Stark- shifted IPS states and follow the equation :
+
+\[e V_{\mathrm{n}} = \phi + \left(\frac{3n\pi\hbar eE}{\sqrt{2m}}\right) \quad (1)\]
+
+<--- Page Split --->
+
+where \(V_{\mathrm{n}}\) is the sample voltage for the \(\mathrm{n}^{th}\) IPS, \(\phi\) is the work function of the sample, \(m\) is the free electron mass and \(E\) is the electric field.
+
+Figure 4d shows the series of IPS states obtained above the cyclo- \(P_{5}\) self- assembly as compared to Ag(111), respectively. The resonance at \(V_{\mathrm{s}} = 2.2 \mathrm{eV}\) of the orange spectrum, which is absent for the Ag one (black), corresponds to the IS state. The peaks noted \(n = 1\) to 7 of the black spectra are the IPS states of the pristine Ag substrate. On the \(P_{5}\) assembly, IPS states are clearly shifted to higher voltage when increasing the electric field (i.e. \(V_{\mathrm{s}}\) ), which is the signature of the change of LWF. \(^{30,31}\)
+
+A quantitative estimation of the LWF can be obtained from Eq. 1. In Fig. 4e, we plot the voltage position \(V_{\mathrm{n}}\) of the IPS states as a function of \(n^{2 / 3}\) for both the cyclo- \(P_{5}\) network (orange squares) and the Ag(111) substrate (black triangles). By fitting the linear progression of each datasets, we extract the LWF value corresponding to the \(y\) - intercepts to \(\phi_{\mathrm{Ag}} = 4.49 \mathrm{eV}\) and \(\phi_{\mathrm{P}_{5}} = 4.95 \mathrm{eV}\) . Considering that our experimental estimate of \(\phi_{\mathrm{Ag}}\) is in excellent agreement with that obtained by ultraviolet photoelectron spectroscopy (UPS), \(^{38}\) we confirm the strong increase of LWF of \(\Delta \phi = 0.46 \mathrm{eV}\) induced by the cyclo- \(P_{5}\) assembly adsorbed on Ag(111). Altogether, the observation of an IS and the shift of the IPS resonances in tunneling spectroscopy point to a charge transfer from the Ag substrate to the cyclo- \(P_{5}\) network and the creation of a strong inwards electric dipole at the interface.
+
+<--- Page Split --->
+
+## Summary and outlook
+
+In summary, we synthesized phosphorus chains and \(cyclo - P_{5}\) pentamers by depositing phosphorus atoms on atomically flat Ag(111) in ultra- high vacuum. Using low- temperature AFM with CO- terminated tips, armchair \(P\) chains and the planar \(cyclo - P_{5}\) rings are resolved with atomic precision. Flat- lying \(cyclo - P_{5}\) pentamers self- assemble into an extended hexagonal assembly in registry with the Ag substrate. DFT calculations support a substantial charge transfer from the Ag substrate to \(P_{5}\) pentamers, which results in a complex charge redistribution at the \(P_{5} / \mathrm{Ag}\) interface and the emergence of an interface state. Using force spectroscopic measurements, the inward surface dipole moment induced by this charge transfer is confirmed as an increase of the LCPD value at the \(P_{5}\) assembly in comparison to the pristine Ag. This corresponds to an increase of LWF at the \(P_{5}\) network as compared to the bare metal substrate. We corroborated these measurement with FERT spectroscopy allowing us to quantify the LWF increase of \(0.46\mathrm{eV}\) at the \(P_{5} / \mathrm{Ag}\) interface. By exploring the fundamental characteristics of the prototypical \(cyclo - P_{5} / \mathrm{metal}\) interface, our results not only underline the importance of scanning probe microscopy (applicable to other emerging 2D materials and related quantum materials) to study structural and electronic properties at the atomic scale, but also provides new insights for improved performances of phosphorus- based devices.
+
+<--- Page Split --->
+
+## Methods
+
+## Sample preparation
+
+The Ag(111) substrate purchased from Mateck GmbH was sputtered by \(\mathrm{Ar^{+}}\) ions and annealed at \(500^{\circ}\mathrm{C}\) to eliminate any surface contaminations. Phosphorus atoms were sublimed by heating up a black phosphorus crystal contained in a Knudsen cell in ultra high vacuum (UHV). The P flux was estimated using a quartz microbalance. To obtain the phosphorus chains and \(P_{5}\) domains, we annealed the Ag(111) substrate during deposition at temperatures described in Ref. 9
+
+## STM experiments
+
+The STM experiments were conducted at a temperature of \(4.8\mathrm{K}\) using an Omicron GmbH low- temperature STM/AFM system operated with Nanonis RC5 electronics. Differential conductance spectroscopy \(\mathrm{d}I / \mathrm{d}V(\mathrm{V})\) spectra were acquired with the lock- in amplifier technique using a modulation of \(610\mathrm{Hz}\) and a modulation amplitude of \(10\mathrm{meV}\) . All voltages refer to the sample bias \(V_{\mathrm{s}}\) with respect to the tip. For field- emission resonance tunneling spectroscopy (FERT), the lock- in amplifier generates a \(15\mathrm{- }30\mathrm{mV}\) (RMS) bias modulation at \(650\mathrm{Hz}\) . The FERT spectra is obtained by recording the differential conductance data while the sample bias is swept with a closed feedback loop (setpoints: \(I_{\mathrm{t}} = 1\mathrm{pA}\) , \(V_{\mathrm{s}} = 500\mathrm{mV}\) ).
+
+## AFM experiments
+
+AFM measurements were performed with commercially available tuning- fork sensors in the qPlus configuration39 equipped with a tungsten tip ( \(f_{0} = 26\mathrm{kHz}\) , \(Q = 10000\) to \(25\mathrm{000}\) ,
+
+<--- Page Split --->
+
+nominal spring constant \(k = 1800\) , N.m \(^{- 1}\) , oscillation amplitude A \(\approx 50\) pm. Constant- height AFM images were obtained using tips terminated with a single carbon monoxide (CO) in the non- contact mode (frequency- modulated AFM- FMAFM) at zero voltage. \(^{19,40}\) CO molecules were adsorbed on the sample maintained at low temperature below 20 K. Before its functionalization, the apex was sharpened by gentle indentations into the silver surface. A single CO molecule was carefully attached to the tip following the procedure of reference. \(^{41}\) Simulations of the AFM images based on the DFT coordinates were carried out using the probe- particle model. \(^{42}\) Site- dependent \(\Delta f(Z)\) spectroscopic measurements to determine the atomic buckling of phosphorus pentamers were obtained with CO- terminated tips. The \(\Delta f(V)\) cross- section of \(1 \times 85\) pixels \(^{2}\) was acquired with Ag- coated metallic tips (tunneling setpoints: \(I_{\mathrm{t}} = 1\) pA, \(V_{\mathrm{s}} = 800\) mV, \(Z_{\mathrm{offset}} = +80\) pm).
+
+## DFT calculations
+
+All density functional theory calculations were carried out in the Vienna ab initio simulation package (VASP) \(^{43}\) with projector augmented wave (PAW) \(^{44,45}\) method. The generalized gradient approximation (GGA) in the framework of Perdew- Burke- Ernzerhof (PBE) \(^{46}\) was chosen with the plane- wave cutoff energy set at 400 eV for all calculations. The DFT- D3 \(^{47}\) method of Grimme was employed to describe the van der Waals (vdW) interactions. The geometries of the structures were relaxed until the force on each atom was less than 0.02 eV Å \(^{- 1}\) , and the energy convergence criterion of \(1 \times 10^{- 4}\) eV was met. The Brillouin zone was sampled using Gamma k- mesh with a separation criterion of 0.03. Metal slabs with 3 atomic layers was adopted as the substrate and the bottom layer was fixed to simulate
+
+<--- Page Split --->
+
+the bulk. The vacuum spacing between neighboring images was set at least 15 Åalong the non- periodic directions to avoid a periodic interaction.
+
+## Data availability
+
+The data that supports the findings of this study are available within the paper or its Supplementary Information. All STM/AFM images are raw data. The raw data of spectroscopic measurements are available from the repository ZENODO (link will be updated).
+
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+
+<--- Page Split --->
+
+## Acknowledgments
+
+E.M. and R.P. acknowledge funding from the Swiss Nanoscience Institute (SNI), the European Research Council (ERC) under the European Union's Horizon 2020 research and innovation programme (ULTRADISS grant agreement No 834402 and supports as a part of NCCR SPIN, a National Centre of Competence (or Excellence) in Research, funded by the SNF (grant number 51NF40- 180604). E.M., T.G. and S.- X.L. acknowledge the Sinergia Project funded by the SNF (CRSII5_213533). E.M., T.G. and R.P. acknowledge the SNF grant (200020_188445). T.G. acknowledges the FET- Open program (Q- AFM grant agreement No 828966) of the European Commission. J.- C.L. acknowledges funding from the European Union's Horizon 2020 research and innovation programme under the Marie Sklodowska- Curie grant agreement number 847471. C.L. and E.M. acknowledges the Georg H. Endress Foundation.
+
+## Author information
+
+Authors and Affiliations
+
+Department of Physics, University of Basel, Klingelbergstrasse 82, 4056 Basel, Switzerland
+
+State Key Laboratory of Precision Spectroscopy School of Physics and Electronic Science,
+
+<--- Page Split --->
+
+East China Normal University, 500 Dongchuan Road, Shanghai 200241, ChinaYulin Yin & Qinghong Yuan,
+
+Faculty of Materials Science and Engineering/Institute of Technology for Carbon Neutrality, Shenzhen Institute of Advanced Technology, Chinese Academy of Sciences, Shenzhen 518055, China
+
+Feng Ding
+
+## Contributions
+
+R.P. and E.M. conceived the experiments. O.C. and R.P. performed the STM/AFM measurements. Y.Y. F.D. and Q.Y. performed DFT calculations. O.C. and R.P. analyzed the data. R.P. wrote the manuscript. All authors discussed on the results and revised the manuscript.
+
+Corresponding authors
+
+Correspondence to ernst.meyer@unibas.ch or remy.pawlak@unibas.ch
+
+## Ethics declarations
+
+Competing interests
+
+The authors declare no competing interests.
+
+<--- Page Split --->
+
+
+Fig. 1: Atomic structure of phosphorus chains on Ag(111). a, STM topographic image after sublimation of phosphorus atoms on Ag(111) leading to P chains (1) and cyclo-\(P_{5}\) domains (2), \((I_{\mathrm{T}} = 1 \mathrm{pA}, V = 0.15 \mathrm{mV})\) . The inset shows a STM image of the single, double and triple chains, respectively. b-d, Series of AFM images with CO-terminated tip revealing the armchair structure of single, double and triple P chains, \((f_{0} = 26 \mathrm{kHz}, A = 50 \mathrm{pm})\) . Scale bars are \(1 \mathrm{nm}\) . e, Atomic configurations of the triple armchair chains obtained by DFT calculations. Phosphorus and silver atoms are shown in orang and gray, respectively. f, Corresponding AFM simulation using the DFT coordinates.
+
+<--- Page Split --->
+
+
+Fig. 2: Atomic structure of the self-assembled cyclo-\(P_{5}\) molecules. a, STM image of the self-assembled pentamers on Ag(111), \((I_{\mathrm{T}} = 1 \mathrm{pA}\) , \(V = 0.15 \mathrm{mV}\) ). Islands systematically shows a superlattice of bright lines rotated by \(19^{\circ}\) with respect to the \([110]\) directions of Ag(111). b, Close-up STM topography showing the \(P_{5}\) molecules depicted by dashed pentagons. c, Corresponding AFM image revealing the \(P_{5}\) chemical structure, \((f_{0} = 26 \mathrm{kHz}\) , \(A = 50 \mathrm{pm}\) ). d, Atomic configurations of the pentamer assembly on Ag(111) obtained by DFT. Phosphorus and silver atoms are shown in orange and gray, respectively. e, Corresponding AFM simulation using the DFT coordinates. f, Site-dependent \(\Delta f(Z)\) spectroscopic curves acquired at one P atoms of a \(P_{5}\) molecule (orange), between two \(P_{5}\) molecules (brown) and on Ag(111) (black), respectively. The local minima of the \(\Delta f(Z)\) curves indicate the relative height of the phosphorus atoms.
+
+<--- Page Split --->
+
+
+Fig. 3: Charge redistribution at the cyclo-\(P_{5}\) /Ag(111) interface. a, Frequency shift \(\Delta f\) as a function of sample bias voltage \(V_{\mathrm{s}}\) , measured across a pentamer domain shown in the STM image (top), (parameters : \(f_{0} = 26 \mathrm{kHz}\) , \(A = 80 \mathrm{pm}\) ). b, Single \(\Delta f(V)\) curves at the pentamer assembly (orange) as compared to the Ag(111) (black). Dashed lines mark the top of the parabola allowing to extract a LCPD shift \(\Delta V^{*} = 0.22 \mathrm{V}\) . c, Top and side views of the charge redistribution between pentamers and Ag(111). Blue areas show electron accumulation, red areas electron depletion. The isosurface level of the plot is set to \(\pm 13 \times 10^{-3} \mathrm{e} / \mathrm{\AA}^{3}\) . d, Schematic illustration of the charge redistribution at the \(P_{5}\) /Ag(111) interface leading to an inward surface dipole (D) moment and a local work function change \((\phi_{\mathrm{P}_{5} / \mathrm{Ag}})\) . The cyclo-\(P_{5}\) layer is colored in orange. \(\Delta V^{*}\) refers to the LCPD change.
+
+<--- Page Split --->
+
+
+Fig. 4: Tunneling spectroscopy of the \(P_{5} / \mathrm{Ag}\) interface. a, \(\mathrm{d}I / \mathrm{d}V\) point-spectra acquired above the \(P_{5}\) assembly (orange) and on Ag(111) (black), where precise locations are shown in the STM inset. (parameters: \(I_{\mathrm{t}} = 1 \mathrm{pA}\) , \(V_{\mathrm{s}} = 500 \mathrm{mV}\) , \(A_{\mathrm{mod}} = 10 \mathrm{mV}\) , \(f = 511 \mathrm{Hz}\) ). b, \(\mathrm{d}I / \mathrm{d}V\) maps at \(V_{\mathrm{s}} = -1.25\) and \(2.5 \mathrm{V}\) corresponding to the valence band energy and the IS interface state, respectively. c, STM topographic image of three \(P_{5}\) domains and the corresponding \(\mathrm{d}I / \mathrm{d}V\) maps of the IS modulation. d, Scheme of the band alignment and the formation of Stark-shifted IPS (orange lines). e, Field-effect resonance tunneling (FERT cross-section acquired across the \(P_{5}\) assembly along the dashed line in a, (Set-points: \(I_{\mathrm{t}} = 1 \mathrm{pA}\) , \(V_{\mathrm{s}} = 500 \mathrm{mV}\) , \(A_{\mathrm{mod}} = 35 \mathrm{mV}\) , \(f = 511 \mathrm{Hz}\) ). f, Single FERT spectra of the \(P_{5}\) assembly and the Ag(111) substrate, showing the series of \(\mathrm{n}^{th}\) IPS. g, Extracted IPS peak voltages as a function of \(n^{2 / 3}\) .
+
+<--- Page Split --->
diff --git a/preprint/preprint__039b62c7612baea1877b62435751c729d645b0b0e721961591a8e7584ee5230b/images_list.json b/preprint/preprint__039b62c7612baea1877b62435751c729d645b0b0e721961591a8e7584ee5230b/images_list.json
new file mode 100644
index 0000000000000000000000000000000000000000..921f60934a2749e6ce5b2d213381cb9e6739ea38
--- /dev/null
+++ b/preprint/preprint__039b62c7612baea1877b62435751c729d645b0b0e721961591a8e7584ee5230b/images_list.json
@@ -0,0 +1,62 @@
+[
+ {
+ "type": "image",
+ "img_path": "images/Figure_1.jpg",
+ "caption": "Figure 1. Reconstruction of incidence histories using the proposed method. A–C Schematic of the incidence reconstruction method. A The sequences are chronologically ordered by collection date. The line shows the cumulative sum of sequences over time. The sequences are allocated into temporal bins, spanning either the same time frame \\(\\Delta d_{b}\\) (yellow and purple bins) or containing the same amount of sequences (green bins). B For each bin, the number of distinct variants \\(h_{b}\\) , as well as the total amount of mutant sequences \\(m_{b}\\) are used to infer the incidence correlate \\(\\phi_{b}\\) . C The point estimates for all bins \\(\\phi_{b}\\) (dots) are smoothed with a convolution filter. For uncertainty estimation, the point estimates are sub-sampled and interpolated. D–E Reconstruction of a simulated outbreak with GInPipe. D \\(\\phi\\) estimates resemble the underlying population dynamics over time. The blue line shows the smoothed median of the sub-sampled \\(\\phi\\) estimates (dots) for a simulated outbreak. The red line indicates true incidence per generation. E. Dotplot showing the true outbreak size from the simulation \\(N_{\\mathrm{true}}\\) versus the \\(\\phi_{b}\\) point estimates for 10 stochastic simulations. The red line depicts the linear fit.",
+ "footnote": [],
+ "bbox": [
+ [
+ 95,
+ 75,
+ 910,
+ 586
+ ]
+ ],
+ "page_idx": 3
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_2.jpg",
+ "caption": "Figure 2. Effective reproduction number \\(R_{e}\\) estimates using the proposed method \\((\\phi)\\) and phylodynamics (BEAST2). Piecewise constant \\(R_{e}^{\\mathrm{BEAST}}(\\tau)\\) estimates (green solid lines) where calculated using the BDSKY model for the indicated intervals, as described in the Methods section. Daily estimates \\(R_{e}^{\\phi}(t)\\) (blue dots) were directly calculated from the incidence correlates \\(\\phi\\) using the Wallinga-Teunis method [61]. The median of these values for the indicated intervals \\(R_{e}^{\\phi}(\\tau)\\) is shown as solid blue lines. The \\(95\\%\\) confidence interval is specified by the shaded areas. Justifications of the intervals are found in Supplementary Note 2.",
+ "footnote": [],
+ "bbox": [
+ [
+ 170,
+ 77,
+ 825,
+ 460
+ ]
+ ],
+ "page_idx": 5
+ },
+ {
+ "type": "image",
+ "img_path": "images/Figure_3.jpg",
+ "caption": "Figure 3. Incidence reconstruction based on sequencing data. The graphic depicts the genome-based incidence reconstruction (in blue) using the proposed method (left axis) vs. the 7 days rolling average of newly reported cases in red (right axis). Blue dots depict \\(\\phi_{b}\\) point estimates of the incidence correlate, where the size of the dot is related to the number of sequences used to infer \\(\\phi_{b}\\) . The solid and dashed blue lines denote the median smoothed trajectories and their 5th and 95th percentiles. The black markers on the x-axis depict the collected sequences at the given dates. A Denmark ( \\(\\mathrm{n} = 40.575\\) sequences) B Scotland ( \\(\\mathrm{n} = 30.258\\) sequences) C Switzerland ( \\(\\mathrm{n} = 25.779\\) sequences) D Victoria ( \\(\\mathrm{n} = 10.710\\) sequences)",
+ "footnote": [],
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+ 472
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+ ],
+ "page_idx": 6
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+ "img_path": "images/Figure_4.jpg",
+ "caption": "Figure 4. Relative case detection rate. Black line in upper graphics: Estimated and scaled probability of detecting SARS-CoV-2 infected individuals \\(c\\cdot P(\\mathrm{test}|\\mathrm{inf})\\) . Blue line in the lower graphics: Number of conducted tests per calendar week. Dashed vertical lines indicate major changes in the testing strategies in the respective location. The sources for testing data and strategies are given in Supplementary Note 3. A Denmark. Policy changes: 18 May 20: testing for everyone; 9 September 20: increasing testing available B Scotland. Policy changes: 1 May 20: expanded testing strategy including enhanced outbreak investigation; 18 May 20: testing for everyone with symptoms; 22 July 20: including young children for testing; 25 August 20: increasing capacity and accessibility of testing; 25 November 20: expansion of testing in health care; 15 December 20: increase of testing capacity; 1 January 21: community testing in areas with high coronavirus prevalence. C Switzerland. Policy changes: 18 May 20: priority testing; 2 November 20: rapid antigen tests are included in the testing strategy; 27 February 21: recommended preventative and repeated testing as part of precautionary measures. D Victoria (Australia). Policy changes: 14 April 20: anyone having symptoms can be tested; 30 April 20: start of 2 weeks 'testing blitz'; 11 May 20: increased surveillance with testing of sewerage; 1 July 20: expanded 'testing blitzes' in outbreak regions; 30 December 21: urging to be tested after re-emergence of positive cases.",
+ "footnote": [],
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\ No newline at end of file
diff --git a/preprint/preprint__039b62c7612baea1877b62435751c729d645b0b0e721961591a8e7584ee5230b/preprint__039b62c7612baea1877b62435751c729d645b0b0e721961591a8e7584ee5230b.mmd b/preprint/preprint__039b62c7612baea1877b62435751c729d645b0b0e721961591a8e7584ee5230b/preprint__039b62c7612baea1877b62435751c729d645b0b0e721961591a8e7584ee5230b.mmd
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index 0000000000000000000000000000000000000000..4c78292b217f0b9e0594b32a507796431e7fafa2
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@@ -0,0 +1,410 @@
+
+# Rapid incidence estimation from SARS-CoV-2 genomes reveals decreased case detection in Europe during summer 2020
+
+Maureen Smith Robert Koch Institute
+
+Maria Trofimova Robert Koch Institute
+
+Ariane Weber Max- Planck Institute
+
+Yannick Duport Robert Koch Institute
+
+Denise Kühnert
+
+Department of Archaeogenetics, Max Planck Institute for the Science of Human History, 07745 Jena, Germany https://orcid.org/0000- 0002- 5657- 018X
+
+Max von Kleist ( kleistm@rki.de )
+
+MF1 Bioinformatics, Robert Koch- Institute https://orcid.org/0000- 0001- 6587- 6394
+
+## Article
+
+Keywords: SARS- CoV- 2, epidemiology, genomes
+
+Posted Date: May 27th, 2021
+
+DOI: https://doi.org/10.21203/rs.3.rs- 558667/v1
+
+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 Nature Communications on October 14th, 2021. See the published version at https://doi.org/10.1038/s41467- 021- 26267- y.
+
+<--- Page Split --->
+
+# Rapid incidence estimation from SARS-CoV-2 genomes reveals decreased case detection in Europe during summer 2020
+
+Maureen Rebecca Smith1, 2, *, +, Maria Trofimova1, 2, *,, Ariane Weber3, Yannick Duport1, 2, Denise Kühnert3, 4, and Max von Kleist1, 2, 4, +
+
+1Systems Medicine of Infectious Disease (P5), Robert Koch Institute, Berlin, Germany 2Bioinformatics (MF1), Robert Koch Institute, Berlin, Germany 3Transmission, Infection, Diversification and Evolution Group, Max- Planck Institute for the Science of Human History, Jena, Germany 4German COVID Omics Initiative (deCOI) \*these authors contributed equally to this work \*smithm@rki.de \*kleistm@rki.de
+
+## ABSTRACT
+
+By May 2021, over 160 million SARS- CoV- 2 diagnoses have been reported worldwide. Yet, the true number of infections is unknown and believed to exceed the reported numbers by several fold. National testing policies, in particular, can strongly affect the proportion of undetected cases.
+
+Here, we propose a novel method (GInPipe) that reconstructs SARS- CoV- 2 incidence profiles within minutes, solely from publicly available, time- stamped viral genomes. We validated GInPipe against in silico generated outbreak data and elaborate phylodynamic analyses. We apply the method to reconstruct incidence histories from sequence data for Denmark, Scotland, Switzerland, and Victoria (Australia). GInPipe reconstructs the different pandemic waves robustly and remarkably accurate. We demonstrate how the method can be used to investigate the effects of changing testing policies on the probability to diagnose and report infected individuals. Specifically, we find that under- reporting was highest in mid 2020 in parts of Europe, coinciding with changes towards more liberal testing policies at times of low testing capacities.
+
+Due to the increased use of real- time sequencing, it is envisaged that GInPipe can complement established surveillance tools to monitor the SARS- CoV- 2 pandemic. We anticipate that the method is particularly useful in settings where diagnostic and reporting infrastructures are insufficient. In 'post- pandemic' times, when diagnostic efforts are decreased, GInPipe may facilitate the detection of hidden infection dynamics.
+
+## Introduction
+
+As of May 2021, the global SARS- CoV- 2 pandemic is still ongoing in most parts of the world, with 160 million reported cases worldwide. Novel vaccines of high efficacy have been developed within a year of the outbreak [2, 46]. At the time of writing, approximately \(8.2\%\) of the worlds population had already received at least one vaccination. However, distribution of vaccines is uneven and achieving global herd immunity may pose an extremely difficult, long- term task [63, 36]. At the same time, novel variants of concern (VOC) have emerged in high prevalence regions [6, 34], which may be able to reinfect individuals [21, 37] and escape vaccine elicited immune responses [33, 66, 45]. For example, Manaus, Brazil, witnessed a massive second wave of infections [51], despite the fact that approx. \(80\%\) had already experienced an infection at the onset of the second wave [6]. Because of the evolutionary versatility of SARS- CoV- 2 and difficulties in global vaccine distribution, some experts expect that the virus may not be eliminated globally [44]. Even without adaptation to vaccines in the future, it has been postulated that SARS- CoV- 2 may resurge [24, 50] and surveillance may have to be maintained into the mid 2020s to monitor virus spread and evolution [24].
+
+Currently, the gold standard of SARS- CoV- 2 surveillance is diagnostic testing via polymerase chain reaction (PCR) or antigenbased rapid diagnostic testing (RDT). Diagnostic test results currently define infection case reports, which are used to survey
+
+<--- Page Split --->
+
+epidemiological dynamics and to define thresholds for travel bans and non- pharmaceutical measures. Inevitably, case reporting data is affected by test coverage, which changes when testing policies are adapted. While RDT enables point- of- care diagnosis and is less costly than PCR testing [13, 12], gathering and reporting of test results still requires a sophisticated infrastructure, which is difficult to establish and maintain in many developing countries [35]. Independent and complimentary sources of information, such as social media reports [31, 53] or waste water analysis [9, 43] have been used early on to complement our knowledge of the pandemic dynamics. In addition, many regions of the world sequence SARS- CoV- 2 genomes to track virus evolution and the emergence of variants of concern. The gathered viral sequences are regularly provided to public databases, such as GISAID [14, 54]. We hypothesize that the genetic data alone holds information about the pandemic trajectory. More specifically, we presume that the speed at which SARS- CoV- 2 evolves on the population level contains information about the number of individuals who are actively infected.
+
+In the vast majority of cases, SARS- CoV- 2 is transmitted within a very short period, only days after infection [30, 17]. The consequence is a well- defined duration of intra- patient evolutionary time before transmission. Thus, the number of infected individuals is correlated to the rate of divergence of the viral population, implicating an 'evolutionary signal'.
+
+In this article, we introduce the computational pipeline GInPipe, which only uses time- stamped sequencing data, extracts the 'evolutionary signal' and reconstructs SARS- CoV- 2 incidence histories. The approach builds on recent work by Khatri and Burt [23], who derived a simple function that relates the mean number of mutant origins to the current allele frequency and the mutational input, which is proportional to the effective population size. Herein, due to the short window of transmission, we anticipate that the effective population size may strongly correlate with the incidence of SARS- CoV- 2. We adapt the function derived in [23] and embed it into an automatic computational pipeline (GInPipe) that reconstructs the time course of an incidence correlate \(\phi\) merely from SARS- CoV- 2 genetic data. GInPipe is validated threefold and performs robustly: (i) against in silico generated outbreak data, (ii) against phylodynamic analysis and (iii) in comparison with case reporting data. We applied the method to SARS- CoV- 2 sequencing data from Denmark, Scotland, Switzerland, and the Australian state Victoria to reconstruct their respective incidence histories. Lastly, we utilize the inferred epidemic trajectories to compute changes in the probability that an infected individual is reported and highlight how this probability is affected by changes in testing policies.
+
+## Results
+
+## Incidence reconstruction
+
+An outline of GInPipe for SARS- CoV- 2 incidence reconstruction is shown in Figure 1A- C. After compiling a set of time- stamped, full- length SARS- CoV- 2 genomes, the sequences are placed into temporal bins \(b\) (Fig. 1A). For each bin, we compute the number of mutant sequences \(m_{b}\) , as well as the number of haplotypes \(h_{b}\) . These two inputs are used to infer the incidence correlate \(\phi_{b}\) (Fig. 1B). We then smooth over all \(\phi_{b}\) point estimates and derive a reconstructed incidence history along the time axis (Fig. 1C). The reconstructed incidence histories can then be used as a basis to estimate the effective reproduction number \(R_{e}\) , as well as the relative case detection rate as outlined below.
+
+## Method validation: in silico experiment
+
+To test whether GInPipe correctly reconstructs incidence histories, we first performed an in silico experiment. We considered a population of \(N(t)\) infected individuals at time \(t\) that stochastically generate \(N(t + 1)\) infected individuals in the next time step \(t + 1\) . Each individual is associated with a virus sequence, which can mutate randomly. Individuals can be removed (the associated sequence is removed), or they transmit their virus (the associated virus is copied over). We record the number of infected individuals per generation, as well as all sequences of the currently circulating viruses. We then use the simulated viral sequences to infer \(\phi (t)\) and reconstruct the incidence history, as presented in Figure 1D- E.
+
+In Figure 1D, we compare one trajectory of simulated population sizes with the reconstructed incidence histories. The simulated outbreak (red line, right axis) consists of two waves of increasing magnitude. GInPipe reconstructs these dynamics (blue lines and dots, left axis) quite accurately, although the incidence correlate \(\phi (t)\) is on a different scale, implying a linear correlation to the number of infected individuals. To assess this correlation, we performed 10 stochastic simulations and compared the \(\phi (t)\) point estimates with the corresponding number of infected individuals (Fig. 1E). We observed a strong \((r = 0.96)\) and highly significant \((p < 10^{- 16})\) linear relationship between the number of infected individuals \(N(t)\) and the method's incidence correlate \(\phi (t)\) .
+
+While these simulations represent idealized scenarios, we evaluated the robustness of GInPipe with regards to incomplete, and sparse data sets, thoroughly elaborated in Supplementary Note 1.
+
+Our analyses showed, that the method can still accurately reconstruct incidence histories over time, when data is missing or when data sampling is unbalanced. In scenarios of extreme under- sampling, the \(\phi\) point estimates are prone to slight underestimation. However, through the smoothing step the reconstructed incidence trajectories still follow the overall population dynamics (Suppl. Note 1, section SN.1.7). Finally, we evaluated whether introductions of foreign sequences affect the reconstruction of incidence histories. Even for extreme and unrealistic cases, a stable reconstruction of the underlying dynamic is possible, but
+
+<--- Page Split --->
+
+
+Figure 1. Reconstruction of incidence histories using the proposed method. A–C Schematic of the incidence reconstruction method. A The sequences are chronologically ordered by collection date. The line shows the cumulative sum of sequences over time. The sequences are allocated into temporal bins, spanning either the same time frame \(\Delta d_{b}\) (yellow and purple bins) or containing the same amount of sequences (green bins). B For each bin, the number of distinct variants \(h_{b}\) , as well as the total amount of mutant sequences \(m_{b}\) are used to infer the incidence correlate \(\phi_{b}\) . C The point estimates for all bins \(\phi_{b}\) (dots) are smoothed with a convolution filter. For uncertainty estimation, the point estimates are sub-sampled and interpolated. D–E Reconstruction of a simulated outbreak with GInPipe. D \(\phi\) estimates resemble the underlying population dynamics over time. The blue line shows the smoothed median of the sub-sampled \(\phi\) estimates (dots) for a simulated outbreak. The red line indicates true incidence per generation. E. Dotplot showing the true outbreak size from the simulation \(N_{\mathrm{true}}\) versus the \(\phi_{b}\) point estimates for 10 stochastic simulations. The red line depicts the linear fit.
+
+we do observe a slight tendency of overestimation in these extreme cases (Suppl. Note 1, section SN.1.8).
+
+## Method validation: phylodynamics
+
+Phylodynamic methods combine phylogeny reconstruction with epidemic models. For example, the piecewise constant birth- death sampling process [55] implemented in BEAST2 [5], allows the reconstruction of the effective reproduction numbers \(R_{e}(\tau)\) for given time periods \(\tau\) . However, these methods are computationally expensive, so that only moderately sized sequence sets can be used, and advanced knowledge is required to apply them properly to larger data sets.
+
+We conducted phylodynamic analyses of SARS- CoV- 2 sequence data from Denmark, Scotland, Switzerland, and the Australian state Victoria. In analyzing the data we assumed that \(R_{e}^{\mathrm{BEAST}}(\tau)\) was piecewise constant in between major changes in SARS- CoV- 2 non- pharmaceutical interventions (intervals stated in Supplementary Note 2). We then used BEAST2 to estimate
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+\(R_{e}^{\mathrm{BEAT}}(\tau)\) alongside the tree reconstructions.
+
+In parallel, we estimated corresponding effective reproduction numbers \(R_{e}^{\emptyset}(t)\) by applying the Wallinga- Teunis method [61] to incidence correlates \(\phi\) derived by GInPipe. For both methods, we used publicly available full length SARS- CoV- 2 sequencing data from GISAID [14, 54](Supplementary Note 4).
+
+Results of both methods are shown in Figure 2. Overall, both methods show congruent trends for the analyzed countries, when comparing the piecewise constant \(R_{e}^{\mathrm{BEAT}}(\tau)\) from phylodynamic analysis with the median daily \(R_{e}^{\emptyset}(t)\) for the same interval. Noteworthy, GInPipe allows for a much finer time- resolution (daily \(R_{e}\) estimates) compared to the piecewise constant \(R_{e}\) estimates on pre- defined intervals, obtained from the phylodynamic analysis.
+
+For Denmark, the first interval spans the decline in the number of infections after the first wave (end of April to mid June). Consequently, we observe \(R_{e}(\tau)< 1\) using both methods. For the next intervals, the median or piece- wise constant \(R_{e}(\tau)\) is predicted to be around, or slightly larger than one. However, GInPipe reconstructs a number of peaks in the daily \(R_{e}^{\emptyset}(t)\) estimates, most pronounced in August, coinciding with the summer holidays in Europe. In the interval from November to mid December the estimates deviate slightly, with a larger median estimate from BEAST2, however, both interval estimates are predicted to be \(R_{e}(t) > 1\) and the confidence intervals overlap entirely.
+
+The \(R_{e}(\tau)\) estimates for Scotland agree almost exactly, where GInPipe again allows for a much finer time- resolution. Once again, we see a peak in the summer (August- September 2020), coinciding with the summer holidays in Europe. For the last interval (from December 2020) both methods show a median \(R_{e}(t) > 1\) , again with a slightly higher median BEAST2 estimate, coinciding with the second wave of infections.
+
+For Switzerland, the estimates disagree slightly, particularly in the first interval (mid March to mid May), which spans both sides of the peak number of infections during the first wave. Although both methods predict a median \(R_{e}(\tau)< 1\) , the absolute value differs in magnitude between the two methods, with BEAST2 estimating a much lower value. The lower estimate from the BEAST2- analysis in the first interval may be explained by the approximation of transmission clusters, which results in the reconstruction of a relatively high number of transmission events many of which may have occurred outside Switzerland (Supplementary Note 2, Figure SN.12 therein, tree B.1). In the daily estimates, we see a transition from \(R_{e}^{\emptyset}(t) > 1\) to \(R_{e}^{\emptyset}(t)< 1\) which may explain why the median prediction with GInPipe is close to one for the entire interval. The estimates are qualitatively different for the second interval (mid May - mid June), where GInPipe estimates \(R_{e}^{\emptyset}(\tau)< 1\) , while BEAST2 estimates \(R_{e}^{\mathrm{BEAT}}(\tau)\approx 1\) . Again, GInPipe estimates a peak in summer (mid June- mid August \(R_{e}\phi (\tau) > 1\) ). While BEAST2 predicts the onset of transmission in the second wave to already start in mid August ( \(R_{e}(\tau) > 1\) ), GInPipe estimates the first major rise in infections at the end of September.
+
+For Victoria we observe an \(R_{e}^{\emptyset}(t) > 1\) until mid March in the daily estimates. Overall, \(R_{e}\) is less than 1 for the first interval between mid March and May, versus \(R_{e} > 1\) between June and August. Again, we see various peaks around June and July in the daily \(R_{e}\) estimates with the proposed method. For the final interval, both methods slightly disagree, with \(R_{e}^{\mathrm{BEAT}}< 1\) and \(R_{e}^{\emptyset}(\tau) > 1\) , though the daily \(R_{e}^{\emptyset}(t)\) are decreasing towards the end of the final interval.
+
+In terms of computational time, the entire GInPipe analysis pipeline runs in 20 minutes on the full Denmark data set (n = 40.575 sequences) and in 7 minutes on the Victoria data set (n = 10.710 sequences) on a single notebook (2,3 Ghz, 2 cores). Furthermore, GInPipe does not require to pre- assign any intervals, to exclude particular strains, construct a phylogenetic tree, or cluster sequences based on a their phylogenetic relationship. The BEAST2 analysis alone required about 15 hours on an Intel Xeon E5- 2687W (3.1 Ghz, 2 x 12 cores) on a sub- sampled data set ( \(n\approx 2500\) sequences) with additional computation time needed to construct a multiple sequence alignment and approximate transmission clusters.
+
+## Reconstructed incidence histories
+
+We used GInPipe to reconstruct complete incidence histories for Denmark, Scotland, Switzerland, and Victoria (Australia) from publicly available full length SARS- CoV- 2 sequencing data provided through GISAID [14, 54] (Supplementary Note 4). In Figure 3, we compare the reconstructed incidence histories (blue lines and dots, left axis) to the 7- day rolling average of officially reported new cases (red line, right axis). Overall, the reconstructed incidence estimates reflect the different pandemic waves deduced from the reporting data, although there are quantitative differences between the reconstructed and reported incidence trajectories over time. In particular, during the first wave in Scotland, and Victoria (Fig. 3B,D) our method estimates higher incidences than reported, whereas the curves align at later points for the second and third wave. It is worth mentioning that testing capacities were particularly low in Scotland in April (during the first wave), suggesting extensive under- reporting in the initial phase of the pandemic. This is also supported by test positive rates of almost \(40\%\) during April 2020 in Scotland (Supplementary Fig. 1). In Victoria, sufficient testing capacities were not available until May, but test positive rates were already declining from April to May (Supplementary Fig. 1). This indicates that the first wave may have been under- reported in magnitude, but had vanished by May.
+
+Interestingly, the proposed incidence reconstruction method predicts small summer waves in August in the three European countries (Fig. 3A- C) that are not visible in the reporting data. In the incidence reconstruction method these 'summer waves'
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+
+Figure 2. Effective reproduction number \(R_{e}\) estimates using the proposed method \((\phi)\) and phylodynamics (BEAST2). Piecewise constant \(R_{e}^{\mathrm{BEAST}}(\tau)\) estimates (green solid lines) where calculated using the BDSKY model for the indicated intervals, as described in the Methods section. Daily estimates \(R_{e}^{\phi}(t)\) (blue dots) were directly calculated from the incidence correlates \(\phi\) using the Wallinga-Teunis method [61]. The median of these values for the indicated intervals \(R_{e}^{\phi}(\tau)\) is shown as solid blue lines. The \(95\%\) confidence interval is specified by the shaded areas. Justifications of the intervals are found in Supplementary Note 2.
+
+are immediately followed by the second SARS- CoV- 2 wave. For the second wave, reconstructed incidence histories correspond to the reported cases, particularly in Denmark, Scotland, and Victoria. (Fig. 3A- B & D). For Scotland, our method predicts a more long- lasting third wave with rising incidence rates until February 2021 and a moderate decline with several smaller peaks until May, whereas the reporting data indicates a peak in January 2021 with a subsequent fast regression. The argument, that ongoing vaccination in Great Britain could explain the immediate decline of reported infected cases, can be objected with the fact, that by March 2021 (end of the prediction horizon) only about \(2\%\) of the Scottish population were fully vaccinated. For Switzerland, we predict a larger wave around January- February 2021 (third wave) that is not reflected in the reporting data. Towards the end of the prediction horizon, from March 2021 onwards, the reported cases and the incidence estimation both indicate a rise in numbers (fourth wave).
+
+## Relative case detection rate
+
+We investigated whether the proposed incidence reconstruction method may be used to learn about the proportion of infected cases that are actually tested, detected and reported, \(P_{i}\) (tested|infected).
+
+The proportion of SARS- CoV- 2 infected who are actually reported can be calculated using Bayes' formula (see Methods section). In order to perform the calculation, the proportion of actively infected individuals in the population \(P_{i}\) (infected) needs to be known. We have shown that the incidence correlates \(\phi\) from our method are proportional to the number of infected individuals, \(c \cdot \phi_{i} = N_{\mathrm{eff}}\) (Fig. 1D- E, Fig. 3), and hence to the probability of being infected \(P_{i}\) (infected). Consequently, we may use the reconstructed incidence profiles, together with the test sensitivity and specificity, the respective information about the proportion of positive tests, as well as the testing capacities for each country or region to calculate changes in the case detection rate, scaled by unknown factor \(c\) .
+
+In Figure 4, we show the \(\log_{2}\) scaled detection probabilities for Denmark, Scotland, Switzerland, and Victoria (Australia).
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+
+Figure 3. Incidence reconstruction based on sequencing data. The graphic depicts the genome-based incidence reconstruction (in blue) using the proposed method (left axis) vs. the 7 days rolling average of newly reported cases in red (right axis). Blue dots depict \(\phi_{b}\) point estimates of the incidence correlate, where the size of the dot is related to the number of sequences used to infer \(\phi_{b}\) . The solid and dashed blue lines denote the median smoothed trajectories and their 5th and 95th percentiles. The black markers on the x-axis depict the collected sequences at the given dates. A Denmark ( \(\mathrm{n} = 40.575\) sequences) B Scotland ( \(\mathrm{n} = 30.258\) sequences) C Switzerland ( \(\mathrm{n} = 25.779\) sequences) D Victoria ( \(\mathrm{n} = 10.710\) sequences)
+
+The log scaling allows us to easily gauge the relative change in (under- )detection of the infected population over time (e.g. 2- fold, 4- fold increase or decrease in case detection rate). The dashed vertical lines in the graphics indicate major changes in testing policies in the respective countries. Individual parameters used in the inference procedure, \(P(\mathrm{tested})\) , \(P(\mathrm{inf}|\mathrm{tested})\) , and \(c \cdot P(\mathrm{infected})\) are shown in Supplementary Figure 1.
+
+For Denmark, we observe an initial period of massive SARS- CoV- 2 under- detection in the beginning of March 2020, Fig. 4A (upper panel), which coincides with very low testing capacities at the beginning of the pandemic (Fig. 4A, lower panel). From mid March, case detection stabilizes at a 6- fold higher level, compared to the first week of March. The second interval begins around mid May with an important policy change, allowing every citizen to get tested without medical referral. Interestingly, compared to the fairly stable case detection levels from mid March to mid May, this policy change leads to a 2- 3 fold drop in case detection in the summer months from July- September. Of note, while everybody is granted the possibility to test for SARS- CoV- 2, testing capacities remained fairly unchanged (Fig. 4A, lower panel). According to our calculations, the largest proportion of infections remained undetected in July. From end of August, testing capacities were steadily increased in Denmark (Fig. 4A, lower panel), particularly in Copenhagen and at the airports, followed by prioritized testing. From September on, this leads to a nearly 8- fold increase of the case detection rate, with a peak in December. From end of December the detection rate drops more than 4- fold, despite continuous testing.
+
+For Scotland (Fig. 4B), the earliest test data is available only from the end of March. Therefore, the data captures only the second part of the first wave, compare Fig. 3B. In the beginning of May, testing capacities were more than doubled (Fig. 3B, lower panel) and outbreak investigation intensified. This led to a doubling of the relative case detection rate from May, compared to the first phase. On 18 May, SARS- CoV- 2 testing was opened for everyone with symptoms. However, only in July testing capacities were increased. This may have led to a drop in case detection from mid May to July, after which case detection increased and remained during August at roughly the levels achieved in May. After 25 August, testing capacities
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+
+Figure 4. Relative case detection rate. Black line in upper graphics: Estimated and scaled probability of detecting SARS-CoV-2 infected individuals \(c\cdot P(\mathrm{test}|\mathrm{inf})\) . Blue line in the lower graphics: Number of conducted tests per calendar week. Dashed vertical lines indicate major changes in the testing strategies in the respective location. The sources for testing data and strategies are given in Supplementary Note 3. A Denmark. Policy changes: 18 May 20: testing for everyone; 9 September 20: increasing testing available B Scotland. Policy changes: 1 May 20: expanded testing strategy including enhanced outbreak investigation; 18 May 20: testing for everyone with symptoms; 22 July 20: including young children for testing; 25 August 20: increasing capacity and accessibility of testing; 25 November 20: expansion of testing in health care; 15 December 20: increase of testing capacity; 1 January 21: community testing in areas with high coronavirus prevalence. C Switzerland. Policy changes: 18 May 20: priority testing; 2 November 20: rapid antigen tests are included in the testing strategy; 27 February 21: recommended preventative and repeated testing as part of precautionary measures. D Victoria (Australia). Policy changes: 14 April 20: anyone having symptoms can be tested; 30 April 20: start of 2 weeks 'testing blitz'; 11 May 20: increased surveillance with testing of sewerage; 1 July 20: expanded 'testing blitzes' in outbreak regions; 30 December 21: urging to be tested after re-emergence of positive cases.
+
+and accessibility of testing steadily increased. Accordingly, case detection increased about 6- fold until winter 20/21. From 25 November, testing capacities were further expanded, especially in the health sector, including hospital patients, health and social care staff, with fairly stable case detection rates. Further increase of testing capacities in the end of December allowed to double the probability to detect infected individuals. From beginning of the year 2021, the Scottish government pushed community testing in areas with high SARS- CoV- 2 prevalence. At the same time, the proportion of positive tests start to decline (Suppl. Fig. 1), and consequently the case detection rate collapses until April by 9- fold.
+
+Similar to Denmark, Switzerland shows an initial period of massive SARS- CoV- 2 under- detection in the beginning of March 2020 (Fig. 4C, upper panel), which coincides with very low testing capacities at the beginning of the pandemic (Fig. 4C, lower panel). When testing capacities increase by mid March, case detection rates grow 8- fold. However, from beginning of April, we observe drop in the probability to detect infections that lasts until mid May (overall 10- fold drop). This trend coincides with a drop of positivity rates (Supplementary Figure 1), as well as the extension of testing criteria on 22nd April: From this date, anybody with symptoms was allowed to get tested, despite the fact that the availability of tests was not increased (Fig. 4C, lower panel). From 18th May, tests were partly prioritized for hospitalized and vulnerable individuals. At the same time, testing capacities steadily increased and incidences dropped. As a net effect, the probability of detecting infected people increases steadily to a maximum at the end of October with a relative difference of nearly 20- fold compared to the low point in mid May. On 2 November, Switzerland begins to supply antigen- based rapid diagnostic tests (RDT) for self- testing as part of their COVID containment strategy. Interestingly, our model predicts that this led to a sharp decline in case detection, again corresponding with the decline in positivity rates (Supplementary Figure 1). From 21st February 2021, further precautionary actions were taken, and the government recommended repeated testing. This is associated with a stable, but relatively low detection rate for infected people until end of April 2021.
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+For the Australian state Victoria, the earliest data were available from end of March 2020, Fig. 4D, capturing the second part of the first SARS- CoV- 2 wave. Detection probabilities in the first interval, until 14th April were changed proportionally to the test capacities during that interval Fig. 4D (upper and lower panel). On 14th April 2020, the testing criteria were expanded, allowing anyone with COVID- like symptoms to be tested. Unlike the situation in Switzerland, where we observed a downward trend in case detection after expanding the testing criteria (Fig. 4C), the detection probability in Victoria remains stable until end of April. In contrast to Switzerland, testing capacities were increased when testing criteria were expanded. On 30th April, the government initiated a two- week 'testing blitz', a large, coordinated testing campaign to locate viral spread. The 'testing blitz' was accompanied by mass sewerage testing and matched with a massive increase of testing capacities, which led, according to our simulations, to a 4- fold increase in the probability to detect infected individuals. At the end of the 'testing blitz', testing capacities steadily decreased and the proportion of detected infections decreased drastically (by roughly 9- fold). At the beginning of June, testing capacities rose again, matched by a rise in the proportion of detected cases. From 1st July onwards, several 'testing blitzes' were conducted in outbreak regions, which seemed to have stabilized case detection rates during the second wave of infections. After the second wave (end of August- September, Fig. 3D), case detection rates drop. From October 2020 onwards, our predictions become highly unreliable, as the incidence estimates credibility interval includes zero (compare Fig. 3D), which concludes that the case detection rate cannot be determined anymore.
+
+In general, we make two striking observations: Firstly, and quite intuitively, whenever more tests were conducted, the proportion of detected SARS- CoV- 2 cases increases. Secondly, and unexpectedly, whenever testing criteria were relaxed, this led to a drop in the probability of case detection. We see this drop in mid May in Denmark and Scotland and in mid April in Switzerland. Importantly, the expansions of testing criteria were not- , or insufficiently matched by increased testing capacities. Quite surprisingly, our simulations for Switzerland suggested a drop in case detection when antigen- based RDT self- testing became part of the national diagnostic strategies.
+
+## Discussion
+
+SARS- CoV- 2 continues to spread around the world, making epidemiological and molecular surveillance indispensable for the evaluation and guidance of public health interventions.
+
+Many national and international sequencing efforts are underway that closely monitor the dynamics and evolution of the virus. In the global fight against SARS- CoV- 2, the vast majority of reconstructed sequence data has been made broadly available through public databases, such as GISAID [14, 54] and the COVID data portal. In this work, we introduce GInPipe, a pipeline that utilizes this data to reconstruct SARS- CoV- 2 incidence histories.
+
+Viral infections are often characterized by a transmission bottleneck [32], where only a very small number of viruses initiate the infection and subsequently replicate within the host. A sufficient number of viruses (viral load) is required for further transmission. Hence, the temporal window of infectiousness begins with the intra- host viral population reaching a sufficiently large abundance and ends with the virus becoming eliminated by the immune system (or drugs). In contrast to HIV or HCV, SARS- CoV- 2 is almost always transmitted within days after infection [30, 17]. If neutral or favourable mutations occur during this time, they may become abundant enough to be passed on to other hosts [32]. The consequence is a well- defined duration of intra- patient evolutionary time in which the virus can randomly mutate and become transmitted subsequently. In SARS- CoV- 2, this intra- patient evolutionary time appears to be short and the analysis of outbreak clusters indicates that the virus genomes from linked cases were separated by either none, or very few mutations [4, 18, 52]. Taken together, these lines of evidence suggest that evolutionary change of SARS- CoV- 2, the effective viral population size, and the number of infected people are correlated.
+
+In the past, numerous approaches have been published, with the aim to estimate the effective population size from genetic properties (reviewed in [62, 38]). A variety of methods utilize the information of temporal changes in allele frequency (reviewed in [62]), while others build on population genetic theory and phylodynamic reconstruction [16, 59, 27]. GInPipe is rather related to the first class of methods as it adapts recent works of Khatri and Burt, 2019 [23]. Essentially, GInPipe considers snap- shots of inter- patient evolution to estimate a mutational input parameter \(\phi (t)\) . The latter is proportional to the effective population size, which correlates with incidence. Taken together, GInPipe uses time- stamped SARS- CoV- 2 sequences and divides them into bins of inter- patient virus evolution to estimate time- dependent incidence correlates \(\phi_{b}\) . From the set of \(\phi_{b}\) estimates, the entire incidence history \(\phi (t)\) can be reconstructed.
+
+We assessed the suitability of GInPipe using in silico simulated outbreaks, in comparison with phylodynamics and by comparing to reported case statistics. Using simulated data, the method accurately reconstructed incidence histories (Fig. 1). It also performed robustly with incomplete data, and when foreign sequence variants were introduced ( Supplementary Note 1). The method even worked when the introduced variants made up a considerable fraction of the population and did not contribute to the mutational input of the outbreak.
+
+We also compared the method with epidemiological estimates from phylodynamic reconstruction using BDSKY [55] in BEAST2 [5], shown in Figure 2. Bayesian phylodynamic methods use Monte Carlo Markov Chain (MCMC) or similar
+
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+techniques to allow for a Bayesian estimation of phylogenetic relatedness of genomes, by both estimating evolutionary parameters, as well as parameters governing an underlying epidemiological model [64, 60]. The MCMC sampling procedure makes phylodynamic inference computationally demanding and often requires to 'down- sample' data sets.
+
+When the epidemiological model entails time- varying parameters, changes in the effective reproduction numbers \(R_{e}(\tau)\) can be computed. However, to enable their estimation (practical parameter identifiability), parameters of the underlying epidemiological model are typically considered to be piecewise constant or to change smoothly. In Figure 2, we show the phylodynamic estimates of the effective reproduction numbers \(R_{e}^{\mathrm{BEAST}}(\tau)\) . Corresponding reproductive numbers \(R_{e}^{\phi}(\tau)\) were computed with GInPipe by applying the method of Wallinga- Teunis [61] to the estimated incidence correlates \(\phi\) . We compared the medians over the temporal windows used in the phylodynamic analysis. Overall, this methodological comparison yielded highly congruent predictions, with the exception of Switzerland in the first- (mid March - May 2020) and final intervals (mid September 2020 - January 2021). The ETH Zurich provides a visualization1 for the daily \(R_{e}\) estimates, based on reporting data. The ETH data, similarly to our daily \(R_{e}^{\phi}\) estimates with GInPipe, shows a peak, followed by a decline in the daily \(R_{e}\) for the first interval. This could explain why the median \(R_{e}^{\phi}\) is only slightly smaller than 1 in this first interval, unlike the BEAST2 estimate, which is \(\approx 0.6\) . For the final intervals (mid September 2020 - January 2021) \(R_{e}^{\phi}\) estimates fluctuate around- or slightly above \(R_{e}(t) = 1\) , in line with the predictions of the ETH, and slightly below the BEAST2 estimate that resulted in a median \(R_{e}\) around 1.2. For the sake of this comparison, a relatively crude transmission cluster detection method was employed for the phylodynamic analyses, which may be causing a slight bias in the estimated effective reproduction numbers.
+
+Overall, it appears that both methods yield similar results with respect to inferring the pandemic trajectories in the majority of cases. The power of GInPipe lies in the swift reconstruction of incidence histories with a fine temporal resolution, without requiring phylodynamic inference, construction of a multiple sequence alignment, down- sampling, clustering by e.g. lineages, or masking of problematic sites in the virus genomes. Moreover, GInPipe performs robustly, even in case of large proportions of introduced variants, which would also include lab- specific errors (Supplementary Note 1). However, \(R_{e}\) estimation is obviously only a side- product of phylodynamic inference, which has many more applications such as the identification and analysis of transmission clusters [19, 47], which GInPipe is not suited for. Hence, the two approaches could complement one another.
+
+To simplify the use of GInPipe, we provide an automatic workflow that can be directly applied to data downloads from GISAID or the COVID Data Portal. The execution time appears to scale linearly with the number of sequences to be analyzed \((\approx 1,500\) sequences per minute on a 2,3 Ghz computer with 2 cores).
+
+When we applied GInPipe to available GISAID data from Denmark, Scotland, Switzerland, and Victoria (Australia), we observed that the reconstructed incidence histories agree well with the daily numbers of new reported infections (Fig. 3). Particularly for Denmark, reconstructed incidence histories match the reporting data quite well. Of the analyzed countries, Denmark conducted the largest number of SARS- CoV- 2 tests per capita (see also \(P\) (tested) in Supplementary Figure 1). This could imply that the pandemic was relatively well tracked, as also suggested by relatively small changes in the diagnostic rate (Fig. 4). Moreover, a large fraction of the diagnosed cases were sequenced, providing a comprehensive genomic profile of the virus population.
+
+For the first wave in Scotland and Victoria, we determined a much higher incidence than reported. Notably, the number of SARS- CoV- 2 tests per capita was very low in Scotland, as well as in Victoria until May 2020 ( \(P\) (tested) in Supplementary Figure 1). Thus, a large proportion of infected individuals may not have been diagnosed during this time. In Victoria and Scotland, testing capacities were increased in May, i.e. after the peak of the first wave.
+
+Another striking difference of our predictions in comparison to the reported cases is that GInPipe indicates a rise of infections in August 2020 in all European countries. Notably, this increase in infections coincides with the introduction and community spread of B.1.177 (the 'Spanish' variant, 20E (EU1)) in most Western European countries as suggested by phylodynamic analyses [28, 20]. Our results, when compared with the reported cases, therefore imply an under- reporting of cases during the onset of community transmission of B.1.177.
+
+Quantifying case detection is usually not feasible without knowing, or approximating the proportion of infected individuals (compare Eq. (2)). In order to do so, others have used mathematical models to predict the proportion of infected individuals [6, 1] and with this, to estimate the level of under- reporting of SARS- CoV- 2. However, these mathematical models cannot be fitted to the reported cases under the presumption of an unknown trajectory of under- reporting. It therefore remains extremely difficult to parameterize suitable models for the task of assessing under- reporting, in particular for non- monotonic pandemic trajectories.
+
+Random testing may inform the number of incidents, as well as asymptomatic infections [41]. Yet, usually only snap- shots of the incidence may be derived, which are insufficient to parameterize the aforementioned models. Moreover, it is not clear, whether the samples in the random testing scheme were representative. Sero- prevalence studies remain the gold- standard to estimate the cumulative number of infections [6, 1], as well as cumulative under- detection. Nevertheless, these studies only
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+provide very coarse time resolution (if any) and require large sample sizes for robust analysis.
+
+A methodologically related approach uses a semi- Bayesian approach to assess under- detection in the US [65]. To enable estimation, the probability of case detection is constrained by the assumption of particular prior distributions.
+
+With regards to the aforementioned approaches, our method to quantify case detecting profiles has the advantage that no complex mathematical modelling is needed, and no constraints are necessary. Instead, we use information about the conducted tests and the test positive rate, in combination with the incidence correlate \(\phi\) . This makes the proposed approach simple, interpretable and independent of additional assumptions.
+
+Using this method, we observed that broad testing with little, or no suspicion of SARS- CoV- 2 infection coincides with apparent under- reporting of infections from the second quarter of 2020. This coincides with a drastic decrease in the proportion of positive test results. From the latter, it is possible to compute the conditional probability that a tested person is actually infected \((P(\mathrm{inf}|\mathrm{test})\) , Supplementary Figure 1). A drop in \(P(\mathrm{inf}|\mathrm{test})\) coinciding with a steady amount of tests can negatively affect the probability to detect infected individuals \(P(\mathrm{test}|\mathrm{inf})\) , which may have happened in the European summer of 2020. In other words, the scarce testing resources available during that time, may not have been employed in the most effective way. This suggests that it may be advisable to focus on testing symptomatic individuals when testing capacity is low.
+
+Nevertheless, the apparent under- reporting was overcome relatively quickly by either increasing testing capacities (Denmark, Scotland, Victoria) or re- focusing capacities or both (Switzerland), Fig. 4. Interestingly, our method predicts a decline in case detection in Switzerland after the broad introduction of antigen self- testing in November 2020. A potential explanation for this observation is that only a fraction of positive antigen self- tests is confirmed by PCR and hence enters the Swiss reporting system. At the time of writing, the final interpretation of this observation is still unclear and will require further analysis.
+
+In summary, we have developed a method that allows to reconstruct incidence histories solely based on time- stamped genetic sequences of SARS- CoV- 2. We implemented the method in a fully automated workflow that can be applied to publicly available data. Moreover, this method can be used to assess the impact of testing strategies on case reporting. Finally, we envision that the method will be particularly useful to estimate the extent of the SARS- CoV- 2 pandemic in regions where diagnostic surveillance is insufficient for monitoring, but may still yield a few samples for sequencing. In some of these regions pandemic control may be impossible or cause more harm than benefit [56] and hence these regions may constitute reservoirs for the emergence of novel SARS- CoV- 2 variants. Gaining insight in the pandemic dynamics in these regions through alternative methods, such as GInPipe, could yield valuable information that helps to direct global SARS- CoV- 2 control efforts.
+
+## Methods
+
+## Data and data pre-processing
+
+Sequences and meta data for Denmark, Scotland, Switzerland, and Victoria (Australia) were downloaded from the GISAID EpiCoV database [14, 54] ( Supplementary Note 4). Sequences, where only the year of collection was provided were omitted. If year and month are specified, the 15th day of the month was added to the meta data.
+
+The retained sequences were individually mapped to the reference (NCBI Wuhan Reference Sequence: NC_045512.2 [39]) with minimap2 version 2.17 (r941) [29]. From the mapping files (SAM), we deduced the nucleotide substitutions for each sequence. Point mutations appearing less than three times in the whole data set were filtered out, as they may occur due to sequencing errors [58].
+
+## Construction of temporal sequence bins
+
+SARS- CoV- 2 sequences were sorted chronologically by collection date and assigned to temporal bins \(b\) in a redundant manner. We subdivided the sequence set into bins of
+
+equal size (proportions of \(2\%\) , \(5\%\) , \(7\%\) of all samples) spanning an equal amount of days (10, 15, and 20, and one calendar week).
+
+Bins that contain a proportion of sequences should however span at least 3 days and maximally 21 days, and bins that span a predefined time period should contain at least 15 sequences. The date assigned to a bin is the mean collection date of the comprised sequences.
+
+The redundant binning ('re- sampling') allows to evaluate cases where there is insufficient data along the time line (Figure 1A), and makes the proposed method statistically more robust to outliers.
+
+## Incidence correlate \(\phi_{b}\)
+
+The proposed method is inspired by the work of Khatri and Burt, 2019 [23], who derived a simple relation between the mean number of independent origins of soft selective sweeps in a population sample \(\overline{\eta}\) , the current number of an allele \(m\) and mutational input, i.e. the scaled (haploid) effective population size \(\theta = 2N_{\mathrm{eff}}\mu\) , with \(\mu\) denoting the mutation rate:
+
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+\[\overline{\eta} (t) = \theta \log \left(1 + \frac{m}{\theta}\right).\]
+
+Unlike Khatri and Burt, who aim at estimating the recent effective population size utilizing the recurrent mutations which have been fixated in the population, we seek to reconstruct the history of incidences of a population over time. We adapted the equation accordingly, also under the presumption that the de novo occurrence of mutations is driven by random chance events, whose likelihood may increase with the number of infected individuals [25, 10]. Seeking to estimate the incidence correlate \(\phi = c\cdot N_{\mathrm{eff}}\) , with the incidence being equivalent to the effective population size \(N_{\mathrm{eff}}\) , scaled by a constant factor \(c\) , we parameterize the equation as follows: For each temporal bin \(b\) we estimate incidence correlate \(\phi_{b}\) at time \(t_{b}\) . From the sequences comprised in bin \(b\) , i.e. dated within a certain time frame \(\Delta d_{b}\) (Fig 1A), we infer the number of haplotypes \(h_{b}\) and the total number of mutant sequences \(m_{b}\) in the bin (Fig 1B). The mutations are determined with respect to a given reference sequence. In the original equation, we replace the mean number of origins \(\overline{\eta}\) with the number of distinct variants \(h_{b}\) . In each temporal bin, however, haplotypes and mutants are accumulated over the time span \(\Delta d_{b}\) . To correct for biases that result from this accumulation, especially for large time spans, we normalize the inputs \(h_{b}\) and \(m_{b}\) using a logistic function \(w_{b} = (\log (\sqrt{\Delta d_{b}}) + 1)^{- 1}\) .
+
+The parameter \(\phi_{b}\) is derived by numerically solving
+
+\[\phi_{b}^{*} = \underset {\phi_{b}}{\arg \min} h_{b}\cdot w_{b} - \phi_{b}\log \left(1 + \frac{m_{b}\cdot w_{b}}{\phi_{b}}\right). \quad (1)\]
+
+## Reconstructing the incidence history
+
+Incidence point estimates \(\phi_{b}\) are assigned to the mean collection date \(t_{b}\) of the sequences contained in the bin. We applied a convolution filter with window size 7 days to derive a continuous, smoothed trajectory (Fig. 1C). For uncertainty estimation, we sub- sampled \(\phi\) trajectories 1000 times, by randomly leaving out \(50\%\) of the point estimates and reconstructed the trajectory by smoothing and linear interpolation between the remaining point estimates.
+
+## Implementation and availability
+
+All methods were implemented in Python version 3.9 and R version 4.0. A fully automated workflow has been generated using Snakemake [26] and is available from https://github.com/KleistLab/GInPipe.
+
+## Simulation study
+
+To test the proposed incidence reconstruction method, we stochastically simulated the evolutionary dynamics of a viral outbreak using a Poisson process formalism. We started with \(N(t_{0}) = 50\) copies of a random sequence of length \(L = 200\) nt, that evolved in 120 discrete time steps, depending on a population dynamic. A succeeding generation was modelled to consist of \(N(t + 1)\sim P o i s s\left(N(t)\cdot \rho (t)\right)\) sequences ( \(=\) effective population size), where we chose a sinodial rate \(\rho (t) = \frac{\sin(t + 0.11)}{15} +1.03\) Thus, \(N(t + 1)\) sequences from the actual generation were randomly chosen with replacement and copied over to the next generation. We then introduced \(n_{\mathrm{mut}}\sim P o i s s\left(\mu \cdot N(t + 1)\cdot L\right)\) random mutations into these sequences with per site mutation rate \(\mu = 0.0001\)
+
+For each generation, a fasta file with all sequences was stored and used as input for the incidence reconstruction pipeline. We ran 10 stochastic simulations with the settings stated above to compare the ground truth effective population sizes \(N(t)\) from our simulations with the corresponding inferred incidence trajectories \(\phi\) .
+
+In Supplementary Note 1, we evaluated scenarios where only a fraction of the sequences were sampled (10- 90%) or, to rule out sampling biases, we sub- sampled equal amounts of sequences at each time point, independent of \(N(t)\) . Moreover, we assessed whether our predictions were affected by the introduction of unrelated sequence variants into the population.
+
+## Effective reproduction number \(R_{e}\)
+
+Based on the reconstructed incidence histories, the effective reproduction number \(R_{e}(t)\) was computed using the established method by Wallinga and Teunis [61] (R package R0 [40]). Daily estimates of \(\phi\) were assigned a pseudocount of one and rounded to the nearest integer. For the generation time distribution \(g(\tau)\) of SARS- CoV- 2, we chose the Gamma distribution with a mean of 5 days and a standard deviation of 1 day [15, 7].
+
+## Phylodynamic analyses
+
+Phylodynamic analyses were performed on subsampled sets of the data described above (Data and data pre- processing) using a birth- death- sampling process as implemented in the BDSKY [55] model in BEAST2 [5]. Here the precise collection day of sequence samples with only information on year and month was inferred during the analysis and not a priori set to the 15th. The full data sets were first grouped by Pango lineage [48, 8] and then subsampled by randomly selecting a specific percentage of sequences per week (Victoria: \(10\%\) for lineage D.2, \(50\%\) for other lineages; Switzerland: \(50\%\) for all lineages; Scotland: \(20\%\) for all lineages; Denmark: \(5\%\) for all lineages). In addition, sequences were excluded if they belonged to a lineage with
+
+<--- Page Split --->
+
+less than two representatives in the analyzed set and lineages with periods longer than 75 days without any sample were split into parts. Retained sequences were aligned to the reference genome (Genbank- ID MN908947.3 [3]) in MAFFT [22] using the - keepingth option and problematic sites were masked by replacing the them with 'N' in the alignment [11].
+
+For each remaining approximate cluster a separate phylogeny was reconstructed. A strict clock model with a fixed rate of \(8\cdot 10^{- 4}\) substitutions per site per year and an HKY substitution model were used. In the embedded transmission model, transmission \((\lambda)\) , recovery \((\mu)\) and sampling \((\psi)\) rates were assumed to be piecewise constant with changes allowed either when intervention measures changed, or in a uniform manner (Supplementary Note 2). The reproductive number \(R_{c}(t) = \lambda (t) / (\mu (t) + \psi (t))\) was drawn from a log- normal distribution \(R_{c}(t)\sim \log \mathcal{N}(0,4)\) , the rate to become non- infectious \(\delta (t) = \mu (t) + \psi (t)\) from a narrow normal distribution with \(\delta (t)\sim \mathcal{N}(27.11,1)\) which is changed to \(\mathcal{N}(48.8,1)\) after first control measures are implemented in the respective area. The sampling proportion \(s(t) = \psi (t) / (\psi (t) + \mu (t))\) was a priori assumed to arise from a uniform distribution with a lower limit of zero and the upper limit determined by the ratio of analyzed sequences over diagnosed cases \(s\sim U(0,q_{i} / d_{i})\) where \(d_{i}\) is the number of diagnoses and \(q_{i}\) the number of sequences included in the analysis in interval \(i\) . To account for the lineage specific subsampling, a separate sampling proportion for lineage D.2, \(s_{D,2}\) , was modelled in the analysis of the Victoria data. A uniform distribution with an upper limit corresponding to the subsampling percentage was thus used as prior distribution of the D.2 specific-, as well as general sampling proportion \(s_{g}\) , i.e. \(s_{D,2}\sim U(0,0.1)\) and \(s_{g}\sim U(0,0.5)\) . Setup files for all four analyses can be found as Supplementary Files.
+
+MCMC chains were run until all parameters converged, which took about 300 million steps for analyses of data from Denmark, Scotland and Switzerland. Because of the large D.2 cluster consisting of more than 900 sequences, about 750 million steps were needed for convergence using data from Victoria. On an Intel Xeon CPU E5- 2687W (3.1 Ghz; \(2\mathrm{x}12\) cores), this corresponded to about 15 hours to run one analysis for at least 300 million MCMC steps (about 3min/Msample). Log files were assessed using Tracer [49] and are included as Supplementary Files. TreeAnnotator was used to summarize the posterior sample of phylogenetic trees to a maximum clade credibility tree using median node heights. Lineage through time plots of all summary trees were calculated using the R package ape [42] and are shown in Supplementary Note 2.
+
+## Relative case detection rate
+
+We used GlnPipe to detect changes in SARS- CoV- 2 case detection. Let us denote by \(P_{t}(\mathrm{tested}|\mathrm{infected})\) the proportion of infected individuals that are actually diagnosed with the virus in week \(t\) . According to Bayes' theorem we have
+
+\[P_{t}(\mathrm{tested}|\mathrm{infected}) = \frac{P_{t}(\mathrm{infected}|\mathrm{tested})\cdot P_{t}(\mathrm{tested})}{P_{t}(\mathrm{infected})} \quad (2)\]
+
+where \(P_{t}(\mathrm{infected}|\mathrm{tested})\) denotes the proportion of tested individuals that are infected, \(P_{t}(\mathrm{tested})\) the proportion of individuals that are tested and \(P_{t}(\mathrm{infected})\) the proportion currently infected in week \(t\) . We calculate \(P_{t}(\mathrm{infected}|\mathrm{tested}) = \frac{r_{\mathrm{pos}} - (1 - s p e c)}{s e n s - (1 - s p e c)}\) from the positivity rate \(r_{\mathrm{pos}}\) of the conducted tests, corrected for the clinical sensitivity \(s e n s = 0.7\) and specificity \(s p e c = 0.999\) of the diagnostic tests [57]. For calculating the probability of being tested \(P(\mathrm{tested})\) , we considered linear-, Poisson- and Binomial models, all of which yielded identical results. For all illustrations herein, we used the latter, yielding \(P_{t}(t e s t e d) =\) \(1 - (1 - 1 / p o p)^{n_{t}}\) , with \(p o p\) denoting the population size in the respective regions or country and \(n_{t}\) denoting the number of tests conducted in the respective week.
+
+The probability of currently being infected \(P(\mathrm{infected})\approx \frac{N_{\mathrm{eff}}}{p o p}\) is unknown. However, since we know that \(N_{\mathrm{eff}}\) is linearly correlated with the incidence estimate \(\phi\) , we have \(P(\mathrm{infected})\approx c\cdot \frac{\phi}{p o p}\) . Putting everything together we can estimate the relative case detection rate:
+
+\[P_{t}(\mathrm{tested}|\mathrm{infected})\cdot c = \frac{p o p}{\phi_{t}}\cdot \frac{r_{p o s} - (1 - s p e c)}{s e n s - (1 - s p e c)}\cdot \left(1 - \left(1 - \frac{1}{p o p}\right)^{n_{t}}\right)\]
+
+Sources for the weekly number of performed tests, as well as test positive rates are stated in Supplementary Note 3.
+
+## Author Contributions
+
+Conceptualization, M.R.S., M.T. and M.v.K.; Methodology, M.R.S., M.T., A.W., D.K. and M.v.K.; Investigation, M.R.S., M.T., A.W., Y.D. Writing - Original Draft, M.R.S., M.T., A.W. and M.v.K.; Writing- Review and Editing, M.R.S., M.T., A.W., D.K. and M.v.K.; Funding Acquisition, A.W., D.K. and M.v.K.; Supervision, D.K. and M.v.K.;
+
+## Acknowledgements
+
+The authors acknowledge all labs contributing SARS- CoV- 2 sequences to the GISAID EpiCoV database as stated in Supplementary Note 4.
+
+<--- Page Split --->
+
+## Funding
+
+M.R.S., M.T., Y.D. and MvK acknowledge funding from the Germany ministry for science and education (BMBF; grant numbers 01KI2016 and 031L0176A). D.K. and A.W. acknowledge funding from the Max Planck Society. A.W. acknowledges financial support through a scholarship (Landesgraduiertenstipendium), funded by the State of Thuringia, Germany. The funders had no role in designing the research or the decision to publish.
+
+## Conflicts of interest
+
+The authors declare that no conflicts of interest exist.
+
+## References
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+
+<--- Page Split --->
+
+## Supplementary Files
+
+This is a list of supplementary files associated with this preprint. Click to download.
+
+BEAST2ConfigurationFiles.zip nCovPopDynAppendix.pdf
+
+<--- Page Split --->
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+<|ref|>title<|/ref|><|det|>[[45, 108, 848, 208]]<|/det|>
+# Rapid incidence estimation from SARS-CoV-2 genomes reveals decreased case detection in Europe during summer 2020
+
+<|ref|>text<|/ref|><|det|>[[44, 230, 240, 270]]<|/det|>
+Maureen Smith Robert Koch Institute
+
+<|ref|>text<|/ref|><|det|>[[44, 277, 240, 316]]<|/det|>
+Maria Trofimova Robert Koch Institute
+
+<|ref|>text<|/ref|><|det|>[[44, 324, 238, 363]]<|/det|>
+Ariane Weber Max- Planck Institute
+
+<|ref|>text<|/ref|><|det|>[[44, 370, 240, 409]]<|/det|>
+Yannick Duport Robert Koch Institute
+
+<|ref|>text<|/ref|><|det|>[[44, 415, 180, 433]]<|/det|>
+Denise Kühnert
+
+<|ref|>text<|/ref|><|det|>[[44, 437, 925, 479]]<|/det|>
+Department of Archaeogenetics, Max Planck Institute for the Science of Human History, 07745 Jena, Germany https://orcid.org/0000- 0002- 5657- 018X
+
+<|ref|>text<|/ref|><|det|>[[44, 484, 358, 504]]<|/det|>
+Max von Kleist ( kleistm@rki.de )
+
+<|ref|>text<|/ref|><|det|>[[50, 507, 777, 526]]<|/det|>
+MF1 Bioinformatics, Robert Koch- Institute https://orcid.org/0000- 0001- 6587- 6394
+
+<|ref|>sub_title<|/ref|><|det|>[[44, 567, 101, 584]]<|/det|>
+## Article
+
+<|ref|>text<|/ref|><|det|>[[44, 604, 460, 624]]<|/det|>
+Keywords: SARS- CoV- 2, epidemiology, genomes
+
+<|ref|>text<|/ref|><|det|>[[44, 643, 295, 662]]<|/det|>
+Posted Date: May 27th, 2021
+
+<|ref|>text<|/ref|><|det|>[[44, 681, 463, 700]]<|/det|>
+DOI: https://doi.org/10.21203/rs.3.rs- 558667/v1
+
+<|ref|>text<|/ref|><|det|>[[44, 718, 910, 760]]<|/det|>
+License: © This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
+
+<|ref|>text<|/ref|><|det|>[[42, 797, 936, 840]]<|/det|>
+Version of Record: A version of this preprint was published at Nature Communications on October 14th, 2021. See the published version at https://doi.org/10.1038/s41467- 021- 26267- y.
+
+<--- Page Split --->
+<|ref|>title<|/ref|><|det|>[[90, 73, 800, 167]]<|/det|>
+# Rapid incidence estimation from SARS-CoV-2 genomes reveals decreased case detection in Europe during summer 2020
+
+<|ref|>text<|/ref|><|det|>[[90, 176, 874, 215]]<|/det|>
+Maureen Rebecca Smith1, 2, *, +, Maria Trofimova1, 2, *,, Ariane Weber3, Yannick Duport1, 2, Denise Kühnert3, 4, and Max von Kleist1, 2, 4, +
+
+<|ref|>text<|/ref|><|det|>[[90, 232, 870, 353]]<|/det|>
+1Systems Medicine of Infectious Disease (P5), Robert Koch Institute, Berlin, Germany 2Bioinformatics (MF1), Robert Koch Institute, Berlin, Germany 3Transmission, Infection, Diversification and Evolution Group, Max- Planck Institute for the Science of Human History, Jena, Germany 4German COVID Omics Initiative (deCOI) \*these authors contributed equally to this work \*smithm@rki.de \*kleistm@rki.de
+
+<|ref|>sub_title<|/ref|><|det|>[[90, 375, 198, 393]]<|/det|>
+## ABSTRACT
+
+<|ref|>text<|/ref|><|det|>[[90, 454, 907, 500]]<|/det|>
+By May 2021, over 160 million SARS- CoV- 2 diagnoses have been reported worldwide. Yet, the true number of infections is unknown and believed to exceed the reported numbers by several fold. National testing policies, in particular, can strongly affect the proportion of undetected cases.
+
+<|ref|>text<|/ref|><|det|>[[90, 500, 908, 606]]<|/det|>
+Here, we propose a novel method (GInPipe) that reconstructs SARS- CoV- 2 incidence profiles within minutes, solely from publicly available, time- stamped viral genomes. We validated GInPipe against in silico generated outbreak data and elaborate phylodynamic analyses. We apply the method to reconstruct incidence histories from sequence data for Denmark, Scotland, Switzerland, and Victoria (Australia). GInPipe reconstructs the different pandemic waves robustly and remarkably accurate. We demonstrate how the method can be used to investigate the effects of changing testing policies on the probability to diagnose and report infected individuals. Specifically, we find that under- reporting was highest in mid 2020 in parts of Europe, coinciding with changes towards more liberal testing policies at times of low testing capacities.
+
+<|ref|>text<|/ref|><|det|>[[90, 606, 907, 667]]<|/det|>
+Due to the increased use of real- time sequencing, it is envisaged that GInPipe can complement established surveillance tools to monitor the SARS- CoV- 2 pandemic. We anticipate that the method is particularly useful in settings where diagnostic and reporting infrastructures are insufficient. In 'post- pandemic' times, when diagnostic efforts are decreased, GInPipe may facilitate the detection of hidden infection dynamics.
+
+<|ref|>sub_title<|/ref|><|det|>[[90, 699, 205, 716]]<|/det|>
+## Introduction
+
+<|ref|>text<|/ref|><|det|>[[90, 722, 909, 887]]<|/det|>
+As of May 2021, the global SARS- CoV- 2 pandemic is still ongoing in most parts of the world, with 160 million reported cases worldwide. Novel vaccines of high efficacy have been developed within a year of the outbreak [2, 46]. At the time of writing, approximately \(8.2\%\) of the worlds population had already received at least one vaccination. However, distribution of vaccines is uneven and achieving global herd immunity may pose an extremely difficult, long- term task [63, 36]. At the same time, novel variants of concern (VOC) have emerged in high prevalence regions [6, 34], which may be able to reinfect individuals [21, 37] and escape vaccine elicited immune responses [33, 66, 45]. For example, Manaus, Brazil, witnessed a massive second wave of infections [51], despite the fact that approx. \(80\%\) had already experienced an infection at the onset of the second wave [6]. Because of the evolutionary versatility of SARS- CoV- 2 and difficulties in global vaccine distribution, some experts expect that the virus may not be eliminated globally [44]. Even without adaptation to vaccines in the future, it has been postulated that SARS- CoV- 2 may resurge [24, 50] and surveillance may have to be maintained into the mid 2020s to monitor virus spread and evolution [24].
+
+<|ref|>text<|/ref|><|det|>[[90, 888, 905, 919]]<|/det|>
+Currently, the gold standard of SARS- CoV- 2 surveillance is diagnostic testing via polymerase chain reaction (PCR) or antigenbased rapid diagnostic testing (RDT). Diagnostic test results currently define infection case reports, which are used to survey
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[89, 79, 909, 230]]<|/det|>
+epidemiological dynamics and to define thresholds for travel bans and non- pharmaceutical measures. Inevitably, case reporting data is affected by test coverage, which changes when testing policies are adapted. While RDT enables point- of- care diagnosis and is less costly than PCR testing [13, 12], gathering and reporting of test results still requires a sophisticated infrastructure, which is difficult to establish and maintain in many developing countries [35]. Independent and complimentary sources of information, such as social media reports [31, 53] or waste water analysis [9, 43] have been used early on to complement our knowledge of the pandemic dynamics. In addition, many regions of the world sequence SARS- CoV- 2 genomes to track virus evolution and the emergence of variants of concern. The gathered viral sequences are regularly provided to public databases, such as GISAID [14, 54]. We hypothesize that the genetic data alone holds information about the pandemic trajectory. More specifically, we presume that the speed at which SARS- CoV- 2 evolves on the population level contains information about the number of individuals who are actively infected.
+
+<|ref|>text<|/ref|><|det|>[[89, 231, 908, 276]]<|/det|>
+In the vast majority of cases, SARS- CoV- 2 is transmitted within a very short period, only days after infection [30, 17]. The consequence is a well- defined duration of intra- patient evolutionary time before transmission. Thus, the number of infected individuals is correlated to the rate of divergence of the viral population, implicating an 'evolutionary signal'.
+
+<|ref|>text<|/ref|><|det|>[[89, 277, 909, 442]]<|/det|>
+In this article, we introduce the computational pipeline GInPipe, which only uses time- stamped sequencing data, extracts the 'evolutionary signal' and reconstructs SARS- CoV- 2 incidence histories. The approach builds on recent work by Khatri and Burt [23], who derived a simple function that relates the mean number of mutant origins to the current allele frequency and the mutational input, which is proportional to the effective population size. Herein, due to the short window of transmission, we anticipate that the effective population size may strongly correlate with the incidence of SARS- CoV- 2. We adapt the function derived in [23] and embed it into an automatic computational pipeline (GInPipe) that reconstructs the time course of an incidence correlate \(\phi\) merely from SARS- CoV- 2 genetic data. GInPipe is validated threefold and performs robustly: (i) against in silico generated outbreak data, (ii) against phylodynamic analysis and (iii) in comparison with case reporting data. We applied the method to SARS- CoV- 2 sequencing data from Denmark, Scotland, Switzerland, and the Australian state Victoria to reconstruct their respective incidence histories. Lastly, we utilize the inferred epidemic trajectories to compute changes in the probability that an infected individual is reported and highlight how this probability is affected by changes in testing policies.
+
+<|ref|>sub_title<|/ref|><|det|>[[90, 459, 163, 476]]<|/det|>
+## Results
+
+<|ref|>sub_title<|/ref|><|det|>[[90, 485, 285, 500]]<|/det|>
+## Incidence reconstruction
+
+<|ref|>text<|/ref|><|det|>[[90, 500, 909, 590]]<|/det|>
+An outline of GInPipe for SARS- CoV- 2 incidence reconstruction is shown in Figure 1A- C. After compiling a set of time- stamped, full- length SARS- CoV- 2 genomes, the sequences are placed into temporal bins \(b\) (Fig. 1A). For each bin, we compute the number of mutant sequences \(m_{b}\) , as well as the number of haplotypes \(h_{b}\) . These two inputs are used to infer the incidence correlate \(\phi_{b}\) (Fig. 1B). We then smooth over all \(\phi_{b}\) point estimates and derive a reconstructed incidence history along the time axis (Fig. 1C). The reconstructed incidence histories can then be used as a basis to estimate the effective reproduction number \(R_{e}\) , as well as the relative case detection rate as outlined below.
+
+<|ref|>sub_title<|/ref|><|det|>[[90, 604, 394, 619]]<|/det|>
+## Method validation: in silico experiment
+
+<|ref|>text<|/ref|><|det|>[[89, 620, 909, 711]]<|/det|>
+To test whether GInPipe correctly reconstructs incidence histories, we first performed an in silico experiment. We considered a population of \(N(t)\) infected individuals at time \(t\) that stochastically generate \(N(t + 1)\) infected individuals in the next time step \(t + 1\) . Each individual is associated with a virus sequence, which can mutate randomly. Individuals can be removed (the associated sequence is removed), or they transmit their virus (the associated virus is copied over). We record the number of infected individuals per generation, as well as all sequences of the currently circulating viruses. We then use the simulated viral sequences to infer \(\phi (t)\) and reconstruct the incidence history, as presented in Figure 1D- E.
+
+<|ref|>text<|/ref|><|det|>[[89, 711, 909, 815]]<|/det|>
+In Figure 1D, we compare one trajectory of simulated population sizes with the reconstructed incidence histories. The simulated outbreak (red line, right axis) consists of two waves of increasing magnitude. GInPipe reconstructs these dynamics (blue lines and dots, left axis) quite accurately, although the incidence correlate \(\phi (t)\) is on a different scale, implying a linear correlation to the number of infected individuals. To assess this correlation, we performed 10 stochastic simulations and compared the \(\phi (t)\) point estimates with the corresponding number of infected individuals (Fig. 1E). We observed a strong \((r = 0.96)\) and highly significant \((p < 10^{- 16})\) linear relationship between the number of infected individuals \(N(t)\) and the method's incidence correlate \(\phi (t)\) .
+
+<|ref|>text<|/ref|><|det|>[[90, 816, 905, 846]]<|/det|>
+While these simulations represent idealized scenarios, we evaluated the robustness of GInPipe with regards to incomplete, and sparse data sets, thoroughly elaborated in Supplementary Note 1.
+
+<|ref|>text<|/ref|><|det|>[[89, 846, 909, 921]]<|/det|>
+Our analyses showed, that the method can still accurately reconstruct incidence histories over time, when data is missing or when data sampling is unbalanced. In scenarios of extreme under- sampling, the \(\phi\) point estimates are prone to slight underestimation. However, through the smoothing step the reconstructed incidence trajectories still follow the overall population dynamics (Suppl. Note 1, section SN.1.7). Finally, we evaluated whether introductions of foreign sequences affect the reconstruction of incidence histories. Even for extreme and unrealistic cases, a stable reconstruction of the underlying dynamic is possible, but
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[95, 75, 910, 586]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[88, 597, 910, 725]]<|/det|>
+Figure 1. Reconstruction of incidence histories using the proposed method. A–C Schematic of the incidence reconstruction method. A The sequences are chronologically ordered by collection date. The line shows the cumulative sum of sequences over time. The sequences are allocated into temporal bins, spanning either the same time frame \(\Delta d_{b}\) (yellow and purple bins) or containing the same amount of sequences (green bins). B For each bin, the number of distinct variants \(h_{b}\) , as well as the total amount of mutant sequences \(m_{b}\) are used to infer the incidence correlate \(\phi_{b}\) . C The point estimates for all bins \(\phi_{b}\) (dots) are smoothed with a convolution filter. For uncertainty estimation, the point estimates are sub-sampled and interpolated. D–E Reconstruction of a simulated outbreak with GInPipe. D \(\phi\) estimates resemble the underlying population dynamics over time. The blue line shows the smoothed median of the sub-sampled \(\phi\) estimates (dots) for a simulated outbreak. The red line indicates true incidence per generation. E. Dotplot showing the true outbreak size from the simulation \(N_{\mathrm{true}}\) versus the \(\phi_{b}\) point estimates for 10 stochastic simulations. The red line depicts the linear fit.
+
+<|ref|>text<|/ref|><|det|>[[90, 750, 778, 765]]<|/det|>
+we do observe a slight tendency of overestimation in these extreme cases (Suppl. Note 1, section SN.1.8).
+
+<|ref|>sub_title<|/ref|><|det|>[[90, 794, 360, 809]]<|/det|>
+## Method validation: phylodynamics
+
+<|ref|>text<|/ref|><|det|>[[89, 810, 909, 870]]<|/det|>
+Phylodynamic methods combine phylogeny reconstruction with epidemic models. For example, the piecewise constant birth- death sampling process [55] implemented in BEAST2 [5], allows the reconstruction of the effective reproduction numbers \(R_{e}(\tau)\) for given time periods \(\tau\) . However, these methods are computationally expensive, so that only moderately sized sequence sets can be used, and advanced knowledge is required to apply them properly to larger data sets.
+
+<|ref|>text<|/ref|><|det|>[[89, 870, 909, 916]]<|/det|>
+We conducted phylodynamic analyses of SARS- CoV- 2 sequence data from Denmark, Scotland, Switzerland, and the Australian state Victoria. In analyzing the data we assumed that \(R_{e}^{\mathrm{BEAST}}(\tau)\) was piecewise constant in between major changes in SARS- CoV- 2 non- pharmaceutical interventions (intervals stated in Supplementary Note 2). We then used BEAST2 to estimate
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[90, 80, 388, 96]]<|/det|>
+\(R_{e}^{\mathrm{BEAT}}(\tau)\) alongside the tree reconstructions.
+
+<|ref|>text<|/ref|><|det|>[[90, 97, 908, 144]]<|/det|>
+In parallel, we estimated corresponding effective reproduction numbers \(R_{e}^{\emptyset}(t)\) by applying the Wallinga- Teunis method [61] to incidence correlates \(\phi\) derived by GInPipe. For both methods, we used publicly available full length SARS- CoV- 2 sequencing data from GISAID [14, 54](Supplementary Note 4).
+
+<|ref|>text<|/ref|><|det|>[[90, 143, 908, 206]]<|/det|>
+Results of both methods are shown in Figure 2. Overall, both methods show congruent trends for the analyzed countries, when comparing the piecewise constant \(R_{e}^{\mathrm{BEAT}}(\tau)\) from phylodynamic analysis with the median daily \(R_{e}^{\emptyset}(t)\) for the same interval. Noteworthy, GInPipe allows for a much finer time- resolution (daily \(R_{e}\) estimates) compared to the piecewise constant \(R_{e}\) estimates on pre- defined intervals, obtained from the phylodynamic analysis.
+
+<|ref|>text<|/ref|><|det|>[[90, 205, 908, 297]]<|/det|>
+For Denmark, the first interval spans the decline in the number of infections after the first wave (end of April to mid June). Consequently, we observe \(R_{e}(\tau)< 1\) using both methods. For the next intervals, the median or piece- wise constant \(R_{e}(\tau)\) is predicted to be around, or slightly larger than one. However, GInPipe reconstructs a number of peaks in the daily \(R_{e}^{\emptyset}(t)\) estimates, most pronounced in August, coinciding with the summer holidays in Europe. In the interval from November to mid December the estimates deviate slightly, with a larger median estimate from BEAST2, however, both interval estimates are predicted to be \(R_{e}(t) > 1\) and the confidence intervals overlap entirely.
+
+<|ref|>text<|/ref|><|det|>[[90, 296, 908, 358]]<|/det|>
+The \(R_{e}(\tau)\) estimates for Scotland agree almost exactly, where GInPipe again allows for a much finer time- resolution. Once again, we see a peak in the summer (August- September 2020), coinciding with the summer holidays in Europe. For the last interval (from December 2020) both methods show a median \(R_{e}(t) > 1\) , again with a slightly higher median BEAST2 estimate, coinciding with the second wave of infections.
+
+<|ref|>text<|/ref|><|det|>[[90, 357, 908, 528]]<|/det|>
+For Switzerland, the estimates disagree slightly, particularly in the first interval (mid March to mid May), which spans both sides of the peak number of infections during the first wave. Although both methods predict a median \(R_{e}(\tau)< 1\) , the absolute value differs in magnitude between the two methods, with BEAST2 estimating a much lower value. The lower estimate from the BEAST2- analysis in the first interval may be explained by the approximation of transmission clusters, which results in the reconstruction of a relatively high number of transmission events many of which may have occurred outside Switzerland (Supplementary Note 2, Figure SN.12 therein, tree B.1). In the daily estimates, we see a transition from \(R_{e}^{\emptyset}(t) > 1\) to \(R_{e}^{\emptyset}(t)< 1\) which may explain why the median prediction with GInPipe is close to one for the entire interval. The estimates are qualitatively different for the second interval (mid May - mid June), where GInPipe estimates \(R_{e}^{\emptyset}(\tau)< 1\) , while BEAST2 estimates \(R_{e}^{\mathrm{BEAT}}(\tau)\approx 1\) . Again, GInPipe estimates a peak in summer (mid June- mid August \(R_{e}\phi (\tau) > 1\) ). While BEAST2 predicts the onset of transmission in the second wave to already start in mid August ( \(R_{e}(\tau) > 1\) ), GInPipe estimates the first major rise in infections at the end of September.
+
+<|ref|>text<|/ref|><|det|>[[90, 527, 908, 590]]<|/det|>
+For Victoria we observe an \(R_{e}^{\emptyset}(t) > 1\) until mid March in the daily estimates. Overall, \(R_{e}\) is less than 1 for the first interval between mid March and May, versus \(R_{e} > 1\) between June and August. Again, we see various peaks around June and July in the daily \(R_{e}\) estimates with the proposed method. For the final interval, both methods slightly disagree, with \(R_{e}^{\mathrm{BEAT}}< 1\) and \(R_{e}^{\emptyset}(\tau) > 1\) , though the daily \(R_{e}^{\emptyset}(t)\) are decreasing towards the end of the final interval.
+
+<|ref|>text<|/ref|><|det|>[[90, 589, 908, 682]]<|/det|>
+In terms of computational time, the entire GInPipe analysis pipeline runs in 20 minutes on the full Denmark data set (n = 40.575 sequences) and in 7 minutes on the Victoria data set (n = 10.710 sequences) on a single notebook (2,3 Ghz, 2 cores). Furthermore, GInPipe does not require to pre- assign any intervals, to exclude particular strains, construct a phylogenetic tree, or cluster sequences based on a their phylogenetic relationship. The BEAST2 analysis alone required about 15 hours on an Intel Xeon E5- 2687W (3.1 Ghz, 2 x 12 cores) on a sub- sampled data set ( \(n\approx 2500\) sequences) with additional computation time needed to construct a multiple sequence alignment and approximate transmission clusters.
+
+<|ref|>sub_title<|/ref|><|det|>[[90, 695, 358, 710]]<|/det|>
+## Reconstructed incidence histories
+
+<|ref|>text<|/ref|><|det|>[[90, 710, 908, 891]]<|/det|>
+We used GInPipe to reconstruct complete incidence histories for Denmark, Scotland, Switzerland, and Victoria (Australia) from publicly available full length SARS- CoV- 2 sequencing data provided through GISAID [14, 54] (Supplementary Note 4). In Figure 3, we compare the reconstructed incidence histories (blue lines and dots, left axis) to the 7- day rolling average of officially reported new cases (red line, right axis). Overall, the reconstructed incidence estimates reflect the different pandemic waves deduced from the reporting data, although there are quantitative differences between the reconstructed and reported incidence trajectories over time. In particular, during the first wave in Scotland, and Victoria (Fig. 3B,D) our method estimates higher incidences than reported, whereas the curves align at later points for the second and third wave. It is worth mentioning that testing capacities were particularly low in Scotland in April (during the first wave), suggesting extensive under- reporting in the initial phase of the pandemic. This is also supported by test positive rates of almost \(40\%\) during April 2020 in Scotland (Supplementary Fig. 1). In Victoria, sufficient testing capacities were not available until May, but test positive rates were already declining from April to May (Supplementary Fig. 1). This indicates that the first wave may have been under- reported in magnitude, but had vanished by May.
+
+<|ref|>text<|/ref|><|det|>[[90, 890, 905, 921]]<|/det|>
+Interestingly, the proposed incidence reconstruction method predicts small summer waves in August in the three European countries (Fig. 3A- C) that are not visible in the reporting data. In the incidence reconstruction method these 'summer waves'
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[170, 77, 825, 460]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[88, 492, 901, 568]]<|/det|>
+Figure 2. Effective reproduction number \(R_{e}\) estimates using the proposed method \((\phi)\) and phylodynamics (BEAST2). Piecewise constant \(R_{e}^{\mathrm{BEAST}}(\tau)\) estimates (green solid lines) where calculated using the BDSKY model for the indicated intervals, as described in the Methods section. Daily estimates \(R_{e}^{\phi}(t)\) (blue dots) were directly calculated from the incidence correlates \(\phi\) using the Wallinga-Teunis method [61]. The median of these values for the indicated intervals \(R_{e}^{\phi}(\tau)\) is shown as solid blue lines. The \(95\%\) confidence interval is specified by the shaded areas. Justifications of the intervals are found in Supplementary Note 2.
+
+<|ref|>text<|/ref|><|det|>[[88, 593, 910, 730]]<|/det|>
+are immediately followed by the second SARS- CoV- 2 wave. For the second wave, reconstructed incidence histories correspond to the reported cases, particularly in Denmark, Scotland, and Victoria. (Fig. 3A- B & D). For Scotland, our method predicts a more long- lasting third wave with rising incidence rates until February 2021 and a moderate decline with several smaller peaks until May, whereas the reporting data indicates a peak in January 2021 with a subsequent fast regression. The argument, that ongoing vaccination in Great Britain could explain the immediate decline of reported infected cases, can be objected with the fact, that by March 2021 (end of the prediction horizon) only about \(2\%\) of the Scottish population were fully vaccinated. For Switzerland, we predict a larger wave around January- February 2021 (third wave) that is not reflected in the reporting data. Towards the end of the prediction horizon, from March 2021 onwards, the reported cases and the incidence estimation both indicate a rise in numbers (fourth wave).
+
+<|ref|>sub_title<|/ref|><|det|>[[90, 744, 307, 759]]<|/det|>
+## Relative case detection rate
+
+<|ref|>text<|/ref|><|det|>[[90, 760, 904, 790]]<|/det|>
+We investigated whether the proposed incidence reconstruction method may be used to learn about the proportion of infected cases that are actually tested, detected and reported, \(P_{i}\) (tested|infected).
+
+<|ref|>text<|/ref|><|det|>[[89, 790, 909, 896]]<|/det|>
+The proportion of SARS- CoV- 2 infected who are actually reported can be calculated using Bayes' formula (see Methods section). In order to perform the calculation, the proportion of actively infected individuals in the population \(P_{i}\) (infected) needs to be known. We have shown that the incidence correlates \(\phi\) from our method are proportional to the number of infected individuals, \(c \cdot \phi_{i} = N_{\mathrm{eff}}\) (Fig. 1D- E, Fig. 3), and hence to the probability of being infected \(P_{i}\) (infected). Consequently, we may use the reconstructed incidence profiles, together with the test sensitivity and specificity, the respective information about the proportion of positive tests, as well as the testing capacities for each country or region to calculate changes in the case detection rate, scaled by unknown factor \(c\) .
+
+<|ref|>text<|/ref|><|det|>[[90, 896, 905, 912]]<|/det|>
+In Figure 4, we show the \(\log_{2}\) scaled detection probabilities for Denmark, Scotland, Switzerland, and Victoria (Australia).
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[170, 75, 825, 472]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[88, 491, 907, 576]]<|/det|>
+Figure 3. Incidence reconstruction based on sequencing data. The graphic depicts the genome-based incidence reconstruction (in blue) using the proposed method (left axis) vs. the 7 days rolling average of newly reported cases in red (right axis). Blue dots depict \(\phi_{b}\) point estimates of the incidence correlate, where the size of the dot is related to the number of sequences used to infer \(\phi_{b}\) . The solid and dashed blue lines denote the median smoothed trajectories and their 5th and 95th percentiles. The black markers on the x-axis depict the collected sequences at the given dates. A Denmark ( \(\mathrm{n} = 40.575\) sequences) B Scotland ( \(\mathrm{n} = 30.258\) sequences) C Switzerland ( \(\mathrm{n} = 25.779\) sequences) D Victoria ( \(\mathrm{n} = 10.710\) sequences)
+
+<|ref|>text<|/ref|><|det|>[[90, 601, 909, 664]]<|/det|>
+The log scaling allows us to easily gauge the relative change in (under- )detection of the infected population over time (e.g. 2- fold, 4- fold increase or decrease in case detection rate). The dashed vertical lines in the graphics indicate major changes in testing policies in the respective countries. Individual parameters used in the inference procedure, \(P(\mathrm{tested})\) , \(P(\mathrm{inf}|\mathrm{tested})\) , and \(c \cdot P(\mathrm{infected})\) are shown in Supplementary Figure 1.
+
+<|ref|>text<|/ref|><|det|>[[89, 663, 909, 829]]<|/det|>
+For Denmark, we observe an initial period of massive SARS- CoV- 2 under- detection in the beginning of March 2020, Fig. 4A (upper panel), which coincides with very low testing capacities at the beginning of the pandemic (Fig. 4A, lower panel). From mid March, case detection stabilizes at a 6- fold higher level, compared to the first week of March. The second interval begins around mid May with an important policy change, allowing every citizen to get tested without medical referral. Interestingly, compared to the fairly stable case detection levels from mid March to mid May, this policy change leads to a 2- 3 fold drop in case detection in the summer months from July- September. Of note, while everybody is granted the possibility to test for SARS- CoV- 2, testing capacities remained fairly unchanged (Fig. 4A, lower panel). According to our calculations, the largest proportion of infections remained undetected in July. From end of August, testing capacities were steadily increased in Denmark (Fig. 4A, lower panel), particularly in Copenhagen and at the airports, followed by prioritized testing. From September on, this leads to a nearly 8- fold increase of the case detection rate, with a peak in December. From end of December the detection rate drops more than 4- fold, despite continuous testing.
+
+<|ref|>text<|/ref|><|det|>[[90, 829, 909, 920]]<|/det|>
+For Scotland (Fig. 4B), the earliest test data is available only from the end of March. Therefore, the data captures only the second part of the first wave, compare Fig. 3B. In the beginning of May, testing capacities were more than doubled (Fig. 3B, lower panel) and outbreak investigation intensified. This led to a doubling of the relative case detection rate from May, compared to the first phase. On 18 May, SARS- CoV- 2 testing was opened for everyone with symptoms. However, only in July testing capacities were increased. This may have led to a drop in case detection from mid May to July, after which case detection increased and remained during August at roughly the levels achieved in May. After 25 August, testing capacities
+
+<--- Page Split --->
+<|ref|>image<|/ref|><|det|>[[169, 75, 825, 409]]<|/det|>
+<|ref|>image_caption<|/ref|><|det|>[[88, 425, 910, 580]]<|/det|>
+Figure 4. Relative case detection rate. Black line in upper graphics: Estimated and scaled probability of detecting SARS-CoV-2 infected individuals \(c\cdot P(\mathrm{test}|\mathrm{inf})\) . Blue line in the lower graphics: Number of conducted tests per calendar week. Dashed vertical lines indicate major changes in the testing strategies in the respective location. The sources for testing data and strategies are given in Supplementary Note 3. A Denmark. Policy changes: 18 May 20: testing for everyone; 9 September 20: increasing testing available B Scotland. Policy changes: 1 May 20: expanded testing strategy including enhanced outbreak investigation; 18 May 20: testing for everyone with symptoms; 22 July 20: including young children for testing; 25 August 20: increasing capacity and accessibility of testing; 25 November 20: expansion of testing in health care; 15 December 20: increase of testing capacity; 1 January 21: community testing in areas with high coronavirus prevalence. C Switzerland. Policy changes: 18 May 20: priority testing; 2 November 20: rapid antigen tests are included in the testing strategy; 27 February 21: recommended preventative and repeated testing as part of precautionary measures. D Victoria (Australia). Policy changes: 14 April 20: anyone having symptoms can be tested; 30 April 20: start of 2 weeks 'testing blitz'; 11 May 20: increased surveillance with testing of sewerage; 1 July 20: expanded 'testing blitzes' in outbreak regions; 30 December 21: urging to be tested after re-emergence of positive cases.
+
+<|ref|>text<|/ref|><|det|>[[88, 603, 909, 696]]<|/det|>
+and accessibility of testing steadily increased. Accordingly, case detection increased about 6- fold until winter 20/21. From 25 November, testing capacities were further expanded, especially in the health sector, including hospital patients, health and social care staff, with fairly stable case detection rates. Further increase of testing capacities in the end of December allowed to double the probability to detect infected individuals. From beginning of the year 2021, the Scottish government pushed community testing in areas with high SARS- CoV- 2 prevalence. At the same time, the proportion of positive tests start to decline (Suppl. Fig. 1), and consequently the case detection rate collapses until April by 9- fold.
+
+<|ref|>text<|/ref|><|det|>[[88, 696, 910, 908]]<|/det|>
+Similar to Denmark, Switzerland shows an initial period of massive SARS- CoV- 2 under- detection in the beginning of March 2020 (Fig. 4C, upper panel), which coincides with very low testing capacities at the beginning of the pandemic (Fig. 4C, lower panel). When testing capacities increase by mid March, case detection rates grow 8- fold. However, from beginning of April, we observe drop in the probability to detect infections that lasts until mid May (overall 10- fold drop). This trend coincides with a drop of positivity rates (Supplementary Figure 1), as well as the extension of testing criteria on 22nd April: From this date, anybody with symptoms was allowed to get tested, despite the fact that the availability of tests was not increased (Fig. 4C, lower panel). From 18th May, tests were partly prioritized for hospitalized and vulnerable individuals. At the same time, testing capacities steadily increased and incidences dropped. As a net effect, the probability of detecting infected people increases steadily to a maximum at the end of October with a relative difference of nearly 20- fold compared to the low point in mid May. On 2 November, Switzerland begins to supply antigen- based rapid diagnostic tests (RDT) for self- testing as part of their COVID containment strategy. Interestingly, our model predicts that this led to a sharp decline in case detection, again corresponding with the decline in positivity rates (Supplementary Figure 1). From 21st February 2021, further precautionary actions were taken, and the government recommended repeated testing. This is associated with a stable, but relatively low detection rate for infected people until end of April 2021.
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[88, 80, 910, 306]]<|/det|>
+For the Australian state Victoria, the earliest data were available from end of March 2020, Fig. 4D, capturing the second part of the first SARS- CoV- 2 wave. Detection probabilities in the first interval, until 14th April were changed proportionally to the test capacities during that interval Fig. 4D (upper and lower panel). On 14th April 2020, the testing criteria were expanded, allowing anyone with COVID- like symptoms to be tested. Unlike the situation in Switzerland, where we observed a downward trend in case detection after expanding the testing criteria (Fig. 4C), the detection probability in Victoria remains stable until end of April. In contrast to Switzerland, testing capacities were increased when testing criteria were expanded. On 30th April, the government initiated a two- week 'testing blitz', a large, coordinated testing campaign to locate viral spread. The 'testing blitz' was accompanied by mass sewerage testing and matched with a massive increase of testing capacities, which led, according to our simulations, to a 4- fold increase in the probability to detect infected individuals. At the end of the 'testing blitz', testing capacities steadily decreased and the proportion of detected infections decreased drastically (by roughly 9- fold). At the beginning of June, testing capacities rose again, matched by a rise in the proportion of detected cases. From 1st July onwards, several 'testing blitzes' were conducted in outbreak regions, which seemed to have stabilized case detection rates during the second wave of infections. After the second wave (end of August- September, Fig. 3D), case detection rates drop. From October 2020 onwards, our predictions become highly unreliable, as the incidence estimates credibility interval includes zero (compare Fig. 3D), which concludes that the case detection rate cannot be determined anymore.
+
+<|ref|>text<|/ref|><|det|>[[89, 306, 909, 397]]<|/det|>
+In general, we make two striking observations: Firstly, and quite intuitively, whenever more tests were conducted, the proportion of detected SARS- CoV- 2 cases increases. Secondly, and unexpectedly, whenever testing criteria were relaxed, this led to a drop in the probability of case detection. We see this drop in mid May in Denmark and Scotland and in mid April in Switzerland. Importantly, the expansions of testing criteria were not- , or insufficiently matched by increased testing capacities. Quite surprisingly, our simulations for Switzerland suggested a drop in case detection when antigen- based RDT self- testing became part of the national diagnostic strategies.
+
+<|ref|>sub_title<|/ref|><|det|>[[90, 413, 197, 431]]<|/det|>
+## Discussion
+
+<|ref|>text<|/ref|><|det|>[[90, 437, 905, 468]]<|/det|>
+SARS- CoV- 2 continues to spread around the world, making epidemiological and molecular surveillance indispensable for the evaluation and guidance of public health interventions.
+
+<|ref|>text<|/ref|><|det|>[[89, 468, 908, 528]]<|/det|>
+Many national and international sequencing efforts are underway that closely monitor the dynamics and evolution of the virus. In the global fight against SARS- CoV- 2, the vast majority of reconstructed sequence data has been made broadly available through public databases, such as GISAID [14, 54] and the COVID data portal. In this work, we introduce GInPipe, a pipeline that utilizes this data to reconstruct SARS- CoV- 2 incidence histories.
+
+<|ref|>text<|/ref|><|det|>[[89, 528, 909, 693]]<|/det|>
+Viral infections are often characterized by a transmission bottleneck [32], where only a very small number of viruses initiate the infection and subsequently replicate within the host. A sufficient number of viruses (viral load) is required for further transmission. Hence, the temporal window of infectiousness begins with the intra- host viral population reaching a sufficiently large abundance and ends with the virus becoming eliminated by the immune system (or drugs). In contrast to HIV or HCV, SARS- CoV- 2 is almost always transmitted within days after infection [30, 17]. If neutral or favourable mutations occur during this time, they may become abundant enough to be passed on to other hosts [32]. The consequence is a well- defined duration of intra- patient evolutionary time in which the virus can randomly mutate and become transmitted subsequently. In SARS- CoV- 2, this intra- patient evolutionary time appears to be short and the analysis of outbreak clusters indicates that the virus genomes from linked cases were separated by either none, or very few mutations [4, 18, 52]. Taken together, these lines of evidence suggest that evolutionary change of SARS- CoV- 2, the effective viral population size, and the number of infected people are correlated.
+
+<|ref|>text<|/ref|><|det|>[[89, 694, 909, 815]]<|/det|>
+In the past, numerous approaches have been published, with the aim to estimate the effective population size from genetic properties (reviewed in [62, 38]). A variety of methods utilize the information of temporal changes in allele frequency (reviewed in [62]), while others build on population genetic theory and phylodynamic reconstruction [16, 59, 27]. GInPipe is rather related to the first class of methods as it adapts recent works of Khatri and Burt, 2019 [23]. Essentially, GInPipe considers snap- shots of inter- patient evolution to estimate a mutational input parameter \(\phi (t)\) . The latter is proportional to the effective population size, which correlates with incidence. Taken together, GInPipe uses time- stamped SARS- CoV- 2 sequences and divides them into bins of inter- patient virus evolution to estimate time- dependent incidence correlates \(\phi_{b}\) . From the set of \(\phi_{b}\) estimates, the entire incidence history \(\phi (t)\) can be reconstructed.
+
+<|ref|>text<|/ref|><|det|>[[90, 815, 908, 890]]<|/det|>
+We assessed the suitability of GInPipe using in silico simulated outbreaks, in comparison with phylodynamics and by comparing to reported case statistics. Using simulated data, the method accurately reconstructed incidence histories (Fig. 1). It also performed robustly with incomplete data, and when foreign sequence variants were introduced ( Supplementary Note 1). The method even worked when the introduced variants made up a considerable fraction of the population and did not contribute to the mutational input of the outbreak.
+
+<|ref|>text<|/ref|><|det|>[[90, 890, 907, 921]]<|/det|>
+We also compared the method with epidemiological estimates from phylodynamic reconstruction using BDSKY [55] in BEAST2 [5], shown in Figure 2. Bayesian phylodynamic methods use Monte Carlo Markov Chain (MCMC) or similar
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[88, 79, 909, 125]]<|/det|>
+techniques to allow for a Bayesian estimation of phylogenetic relatedness of genomes, by both estimating evolutionary parameters, as well as parameters governing an underlying epidemiological model [64, 60]. The MCMC sampling procedure makes phylodynamic inference computationally demanding and often requires to 'down- sample' data sets.
+
+<|ref|>text<|/ref|><|det|>[[88, 125, 910, 343]]<|/det|>
+When the epidemiological model entails time- varying parameters, changes in the effective reproduction numbers \(R_{e}(\tau)\) can be computed. However, to enable their estimation (practical parameter identifiability), parameters of the underlying epidemiological model are typically considered to be piecewise constant or to change smoothly. In Figure 2, we show the phylodynamic estimates of the effective reproduction numbers \(R_{e}^{\mathrm{BEAST}}(\tau)\) . Corresponding reproductive numbers \(R_{e}^{\phi}(\tau)\) were computed with GInPipe by applying the method of Wallinga- Teunis [61] to the estimated incidence correlates \(\phi\) . We compared the medians over the temporal windows used in the phylodynamic analysis. Overall, this methodological comparison yielded highly congruent predictions, with the exception of Switzerland in the first- (mid March - May 2020) and final intervals (mid September 2020 - January 2021). The ETH Zurich provides a visualization1 for the daily \(R_{e}\) estimates, based on reporting data. The ETH data, similarly to our daily \(R_{e}^{\phi}\) estimates with GInPipe, shows a peak, followed by a decline in the daily \(R_{e}\) for the first interval. This could explain why the median \(R_{e}^{\phi}\) is only slightly smaller than 1 in this first interval, unlike the BEAST2 estimate, which is \(\approx 0.6\) . For the final intervals (mid September 2020 - January 2021) \(R_{e}^{\phi}\) estimates fluctuate around- or slightly above \(R_{e}(t) = 1\) , in line with the predictions of the ETH, and slightly below the BEAST2 estimate that resulted in a median \(R_{e}\) around 1.2. For the sake of this comparison, a relatively crude transmission cluster detection method was employed for the phylodynamic analyses, which may be causing a slight bias in the estimated effective reproduction numbers.
+
+<|ref|>text<|/ref|><|det|>[[88, 343, 910, 456]]<|/det|>
+Overall, it appears that both methods yield similar results with respect to inferring the pandemic trajectories in the majority of cases. The power of GInPipe lies in the swift reconstruction of incidence histories with a fine temporal resolution, without requiring phylodynamic inference, construction of a multiple sequence alignment, down- sampling, clustering by e.g. lineages, or masking of problematic sites in the virus genomes. Moreover, GInPipe performs robustly, even in case of large proportions of introduced variants, which would also include lab- specific errors (Supplementary Note 1). However, \(R_{e}\) estimation is obviously only a side- product of phylodynamic inference, which has many more applications such as the identification and analysis of transmission clusters [19, 47], which GInPipe is not suited for. Hence, the two approaches could complement one another.
+
+<|ref|>text<|/ref|><|det|>[[89, 456, 909, 565]]<|/det|>
+To simplify the use of GInPipe, we provide an automatic workflow that can be directly applied to data downloads from GISAID or the COVID Data Portal. The execution time appears to scale linearly with the number of sequences to be analyzed \((\approx 1,500\) sequences per minute on a 2,3 Ghz computer with 2 cores).
+
+<|ref|>text<|/ref|><|det|>[[89, 565, 909, 603]]<|/det|>
+When we applied GInPipe to available GISAID data from Denmark, Scotland, Switzerland, and Victoria (Australia), we observed that the reconstructed incidence histories agree well with the daily numbers of new reported infections (Fig. 3). Particularly for Denmark, reconstructed incidence histories match the reporting data quite well. Of the analyzed countries, Denmark conducted the largest number of SARS- CoV- 2 tests per capita (see also \(P\) (tested) in Supplementary Figure 1). This could imply that the pandemic was relatively well tracked, as also suggested by relatively small changes in the diagnostic rate (Fig. 4). Moreover, a large fraction of the diagnosed cases were sequenced, providing a comprehensive genomic profile of the virus population.
+
+<|ref|>text<|/ref|><|det|>[[89, 603, 909, 664]]<|/det|>
+For the first wave in Scotland and Victoria, we determined a much higher incidence than reported. Notably, the number of SARS- CoV- 2 tests per capita was very low in Scotland, as well as in Victoria until May 2020 ( \(P\) (tested) in Supplementary Figure 1). Thus, a large proportion of infected individuals may not have been diagnosed during this time. In Victoria and Scotland, testing capacities were increased in May, i.e. after the peak of the first wave.
+
+<|ref|>text<|/ref|><|det|>[[89, 663, 909, 737]]<|/det|>
+Another striking difference of our predictions in comparison to the reported cases is that GInPipe indicates a rise of infections in August 2020 in all European countries. Notably, this increase in infections coincides with the introduction and community spread of B.1.177 (the 'Spanish' variant, 20E (EU1)) in most Western European countries as suggested by phylodynamic analyses [28, 20]. Our results, when compared with the reported cases, therefore imply an under- reporting of cases during the onset of community transmission of B.1.177.
+
+<|ref|>text<|/ref|><|det|>[[89, 737, 909, 825]]<|/det|>
+Quantifying case detection is usually not feasible without knowing, or approximating the proportion of infected individuals (compare Eq. (2)). In order to do so, others have used mathematical models to predict the proportion of infected individuals [6, 1] and with this, to estimate the level of under- reporting of SARS- CoV- 2. However, these mathematical models cannot be fitted to the reported cases under the presumption of an unknown trajectory of under- reporting. It therefore remains extremely difficult to parameterize suitable models for the task of assessing under- reporting, in particular for non- monotonic pandemic trajectories.
+
+<|ref|>text<|/ref|><|det|>[[89, 826, 909, 887]]<|/det|>
+Random testing may inform the number of incidents, as well as asymptomatic infections [41]. Yet, usually only snap- shots of the incidence may be derived, which are insufficient to parameterize the aforementioned models. Moreover, it is not clear, whether the samples in the random testing scheme were representative. Sero- prevalence studies remain the gold- standard to estimate the cumulative number of infections [6, 1], as well as cumulative under- detection. Nevertheless, these studies only
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[90, 80, 701, 96]]<|/det|>
+provide very coarse time resolution (if any) and require large sample sizes for robust analysis.
+
+<|ref|>text<|/ref|><|det|>[[90, 95, 904, 127]]<|/det|>
+A methodologically related approach uses a semi- Bayesian approach to assess under- detection in the US [65]. To enable estimation, the probability of case detection is constrained by the assumption of particular prior distributions.
+
+<|ref|>text<|/ref|><|det|>[[90, 126, 908, 186]]<|/det|>
+With regards to the aforementioned approaches, our method to quantify case detecting profiles has the advantage that no complex mathematical modelling is needed, and no constraints are necessary. Instead, we use information about the conducted tests and the test positive rate, in combination with the incidence correlate \(\phi\) . This makes the proposed approach simple, interpretable and independent of additional assumptions.
+
+<|ref|>text<|/ref|><|det|>[[90, 186, 908, 293]]<|/det|>
+Using this method, we observed that broad testing with little, or no suspicion of SARS- CoV- 2 infection coincides with apparent under- reporting of infections from the second quarter of 2020. This coincides with a drastic decrease in the proportion of positive test results. From the latter, it is possible to compute the conditional probability that a tested person is actually infected \((P(\mathrm{inf}|\mathrm{test})\) , Supplementary Figure 1). A drop in \(P(\mathrm{inf}|\mathrm{test})\) coinciding with a steady amount of tests can negatively affect the probability to detect infected individuals \(P(\mathrm{test}|\mathrm{inf})\) , which may have happened in the European summer of 2020. In other words, the scarce testing resources available during that time, may not have been employed in the most effective way. This suggests that it may be advisable to focus on testing symptomatic individuals when testing capacity is low.
+
+<|ref|>text<|/ref|><|det|>[[90, 291, 908, 368]]<|/det|>
+Nevertheless, the apparent under- reporting was overcome relatively quickly by either increasing testing capacities (Denmark, Scotland, Victoria) or re- focusing capacities or both (Switzerland), Fig. 4. Interestingly, our method predicts a decline in case detection in Switzerland after the broad introduction of antigen self- testing in November 2020. A potential explanation for this observation is that only a fraction of positive antigen self- tests is confirmed by PCR and hence enters the Swiss reporting system. At the time of writing, the final interpretation of this observation is still unclear and will require further analysis.
+
+<|ref|>text<|/ref|><|det|>[[90, 367, 908, 488]]<|/det|>
+In summary, we have developed a method that allows to reconstruct incidence histories solely based on time- stamped genetic sequences of SARS- CoV- 2. We implemented the method in a fully automated workflow that can be applied to publicly available data. Moreover, this method can be used to assess the impact of testing strategies on case reporting. Finally, we envision that the method will be particularly useful to estimate the extent of the SARS- CoV- 2 pandemic in regions where diagnostic surveillance is insufficient for monitoring, but may still yield a few samples for sequencing. In some of these regions pandemic control may be impossible or cause more harm than benefit [56] and hence these regions may constitute reservoirs for the emergence of novel SARS- CoV- 2 variants. Gaining insight in the pandemic dynamics in these regions through alternative methods, such as GInPipe, could yield valuable information that helps to direct global SARS- CoV- 2 control efforts.
+
+<|ref|>sub_title<|/ref|><|det|>[[90, 504, 172, 520]]<|/det|>
+## Methods
+
+<|ref|>sub_title<|/ref|><|det|>[[90, 529, 320, 545]]<|/det|>
+## Data and data pre-processing
+
+<|ref|>text<|/ref|><|det|>[[90, 545, 908, 591]]<|/det|>
+Sequences and meta data for Denmark, Scotland, Switzerland, and Victoria (Australia) were downloaded from the GISAID EpiCoV database [14, 54] ( Supplementary Note 4). Sequences, where only the year of collection was provided were omitted. If year and month are specified, the 15th day of the month was added to the meta data.
+
+<|ref|>text<|/ref|><|det|>[[90, 591, 908, 652]]<|/det|>
+The retained sequences were individually mapped to the reference (NCBI Wuhan Reference Sequence: NC_045512.2 [39]) with minimap2 version 2.17 (r941) [29]. From the mapping files (SAM), we deduced the nucleotide substitutions for each sequence. Point mutations appearing less than three times in the whole data set were filtered out, as they may occur due to sequencing errors [58].
+
+<|ref|>sub_title<|/ref|><|det|>[[90, 665, 405, 680]]<|/det|>
+## Construction of temporal sequence bins
+
+<|ref|>text<|/ref|><|det|>[[90, 680, 905, 711]]<|/det|>
+SARS- CoV- 2 sequences were sorted chronologically by collection date and assigned to temporal bins \(b\) in a redundant manner. We subdivided the sequence set into bins of
+
+<|ref|>text<|/ref|><|det|>[[115, 720, 625, 760]]<|/det|>
+equal size (proportions of \(2\%\) , \(5\%\) , \(7\%\) of all samples) spanning an equal amount of days (10, 15, and 20, and one calendar week).
+
+<|ref|>text<|/ref|><|det|>[[90, 769, 907, 815]]<|/det|>
+Bins that contain a proportion of sequences should however span at least 3 days and maximally 21 days, and bins that span a predefined time period should contain at least 15 sequences. The date assigned to a bin is the mean collection date of the comprised sequences.
+
+<|ref|>text<|/ref|><|det|>[[90, 815, 905, 846]]<|/det|>
+The redundant binning ('re- sampling') allows to evaluate cases where there is insufficient data along the time line (Figure 1A), and makes the proposed method statistically more robust to outliers.
+
+<|ref|>sub_title<|/ref|><|det|>[[90, 860, 260, 875]]<|/det|>
+## Incidence correlate \(\phi_{b}\)
+
+<|ref|>text<|/ref|><|det|>[[90, 875, 907, 922]]<|/det|>
+The proposed method is inspired by the work of Khatri and Burt, 2019 [23], who derived a simple relation between the mean number of independent origins of soft selective sweeps in a population sample \(\overline{\eta}\) , the current number of an allele \(m\) and mutational input, i.e. the scaled (haploid) effective population size \(\theta = 2N_{\mathrm{eff}}\mu\) , with \(\mu\) denoting the mutation rate:
+
+<--- Page Split --->
+<|ref|>equation<|/ref|><|det|>[[89, 78, 232, 97]]<|/det|>
+\[\overline{\eta} (t) = \theta \log \left(1 + \frac{m}{\theta}\right).\]
+
+<|ref|>text<|/ref|><|det|>[[88, 95, 909, 277]]<|/det|>
+Unlike Khatri and Burt, who aim at estimating the recent effective population size utilizing the recurrent mutations which have been fixated in the population, we seek to reconstruct the history of incidences of a population over time. We adapted the equation accordingly, also under the presumption that the de novo occurrence of mutations is driven by random chance events, whose likelihood may increase with the number of infected individuals [25, 10]. Seeking to estimate the incidence correlate \(\phi = c\cdot N_{\mathrm{eff}}\) , with the incidence being equivalent to the effective population size \(N_{\mathrm{eff}}\) , scaled by a constant factor \(c\) , we parameterize the equation as follows: For each temporal bin \(b\) we estimate incidence correlate \(\phi_{b}\) at time \(t_{b}\) . From the sequences comprised in bin \(b\) , i.e. dated within a certain time frame \(\Delta d_{b}\) (Fig 1A), we infer the number of haplotypes \(h_{b}\) and the total number of mutant sequences \(m_{b}\) in the bin (Fig 1B). The mutations are determined with respect to a given reference sequence. In the original equation, we replace the mean number of origins \(\overline{\eta}\) with the number of distinct variants \(h_{b}\) . In each temporal bin, however, haplotypes and mutants are accumulated over the time span \(\Delta d_{b}\) . To correct for biases that result from this accumulation, especially for large time spans, we normalize the inputs \(h_{b}\) and \(m_{b}\) using a logistic function \(w_{b} = (\log (\sqrt{\Delta d_{b}}) + 1)^{- 1}\) .
+
+<|ref|>text<|/ref|><|det|>[[111, 276, 452, 292]]<|/det|>
+The parameter \(\phi_{b}\) is derived by numerically solving
+
+<|ref|>equation<|/ref|><|det|>[[130, 301, 907, 338]]<|/det|>
+\[\phi_{b}^{*} = \underset {\phi_{b}}{\arg \min} h_{b}\cdot w_{b} - \phi_{b}\log \left(1 + \frac{m_{b}\cdot w_{b}}{\phi_{b}}\right). \quad (1)\]
+
+<|ref|>sub_title<|/ref|><|det|>[[90, 349, 379, 365]]<|/det|>
+## Reconstructing the incidence history
+
+<|ref|>text<|/ref|><|det|>[[89, 364, 908, 425]]<|/det|>
+Incidence point estimates \(\phi_{b}\) are assigned to the mean collection date \(t_{b}\) of the sequences contained in the bin. We applied a convolution filter with window size 7 days to derive a continuous, smoothed trajectory (Fig. 1C). For uncertainty estimation, we sub- sampled \(\phi\) trajectories 1000 times, by randomly leaving out \(50\%\) of the point estimates and reconstructed the trajectory by smoothing and linear interpolation between the remaining point estimates.
+
+<|ref|>sub_title<|/ref|><|det|>[[90, 437, 333, 453]]<|/det|>
+## Implementation and availability
+
+<|ref|>text<|/ref|><|det|>[[90, 453, 905, 484]]<|/det|>
+All methods were implemented in Python version 3.9 and R version 4.0. A fully automated workflow has been generated using Snakemake [26] and is available from https://github.com/KleistLab/GInPipe.
+
+<|ref|>sub_title<|/ref|><|det|>[[90, 497, 223, 512]]<|/det|>
+## Simulation study
+
+<|ref|>text<|/ref|><|det|>[[89, 512, 908, 620]]<|/det|>
+To test the proposed incidence reconstruction method, we stochastically simulated the evolutionary dynamics of a viral outbreak using a Poisson process formalism. We started with \(N(t_{0}) = 50\) copies of a random sequence of length \(L = 200\) nt, that evolved in 120 discrete time steps, depending on a population dynamic. A succeeding generation was modelled to consist of \(N(t + 1)\sim P o i s s\left(N(t)\cdot \rho (t)\right)\) sequences ( \(=\) effective population size), where we chose a sinodial rate \(\rho (t) = \frac{\sin(t + 0.11)}{15} +1.03\) Thus, \(N(t + 1)\) sequences from the actual generation were randomly chosen with replacement and copied over to the next generation. We then introduced \(n_{\mathrm{mut}}\sim P o i s s\left(\mu \cdot N(t + 1)\cdot L\right)\) random mutations into these sequences with per site mutation rate \(\mu = 0.0001\)
+
+<|ref|>text<|/ref|><|det|>[[89, 620, 908, 666]]<|/det|>
+For each generation, a fasta file with all sequences was stored and used as input for the incidence reconstruction pipeline. We ran 10 stochastic simulations with the settings stated above to compare the ground truth effective population sizes \(N(t)\) from our simulations with the corresponding inferred incidence trajectories \(\phi\) .
+
+<|ref|>text<|/ref|><|det|>[[89, 666, 908, 712]]<|/det|>
+In Supplementary Note 1, we evaluated scenarios where only a fraction of the sequences were sampled (10- 90%) or, to rule out sampling biases, we sub- sampled equal amounts of sequences at each time point, independent of \(N(t)\) . Moreover, we assessed whether our predictions were affected by the introduction of unrelated sequence variants into the population.
+
+<|ref|>sub_title<|/ref|><|det|>[[90, 725, 350, 741]]<|/det|>
+## Effective reproduction number \(R_{e}\)
+
+<|ref|>text<|/ref|><|det|>[[89, 741, 908, 802]]<|/det|>
+Based on the reconstructed incidence histories, the effective reproduction number \(R_{e}(t)\) was computed using the established method by Wallinga and Teunis [61] (R package R0 [40]). Daily estimates of \(\phi\) were assigned a pseudocount of one and rounded to the nearest integer. For the generation time distribution \(g(\tau)\) of SARS- CoV- 2, we chose the Gamma distribution with a mean of 5 days and a standard deviation of 1 day [15, 7].
+
+<|ref|>sub_title<|/ref|><|det|>[[90, 815, 275, 830]]<|/det|>
+## Phylodynamic analyses
+
+<|ref|>text<|/ref|><|det|>[[89, 830, 909, 921]]<|/det|>
+Phylodynamic analyses were performed on subsampled sets of the data described above (Data and data pre- processing) using a birth- death- sampling process as implemented in the BDSKY [55] model in BEAST2 [5]. Here the precise collection day of sequence samples with only information on year and month was inferred during the analysis and not a priori set to the 15th. The full data sets were first grouped by Pango lineage [48, 8] and then subsampled by randomly selecting a specific percentage of sequences per week (Victoria: \(10\%\) for lineage D.2, \(50\%\) for other lineages; Switzerland: \(50\%\) for all lineages; Scotland: \(20\%\) for all lineages; Denmark: \(5\%\) for all lineages). In addition, sequences were excluded if they belonged to a lineage with
+
+<--- Page Split --->
+<|ref|>text<|/ref|><|det|>[[88, 78, 909, 125]]<|/det|>
+less than two representatives in the analyzed set and lineages with periods longer than 75 days without any sample were split into parts. Retained sequences were aligned to the reference genome (Genbank- ID MN908947.3 [3]) in MAFFT [22] using the - keepingth option and problematic sites were masked by replacing the them with 'N' in the alignment [11].
+
+<|ref|>text<|/ref|><|det|>[[88, 125, 910, 321]]<|/det|>
+For each remaining approximate cluster a separate phylogeny was reconstructed. A strict clock model with a fixed rate of \(8\cdot 10^{- 4}\) substitutions per site per year and an HKY substitution model were used. In the embedded transmission model, transmission \((\lambda)\) , recovery \((\mu)\) and sampling \((\psi)\) rates were assumed to be piecewise constant with changes allowed either when intervention measures changed, or in a uniform manner (Supplementary Note 2). The reproductive number \(R_{c}(t) = \lambda (t) / (\mu (t) + \psi (t))\) was drawn from a log- normal distribution \(R_{c}(t)\sim \log \mathcal{N}(0,4)\) , the rate to become non- infectious \(\delta (t) = \mu (t) + \psi (t)\) from a narrow normal distribution with \(\delta (t)\sim \mathcal{N}(27.11,1)\) which is changed to \(\mathcal{N}(48.8,1)\) after first control measures are implemented in the respective area. The sampling proportion \(s(t) = \psi (t) / (\psi (t) + \mu (t))\) was a priori assumed to arise from a uniform distribution with a lower limit of zero and the upper limit determined by the ratio of analyzed sequences over diagnosed cases \(s\sim U(0,q_{i} / d_{i})\) where \(d_{i}\) is the number of diagnoses and \(q_{i}\) the number of sequences included in the analysis in interval \(i\) . To account for the lineage specific subsampling, a separate sampling proportion for lineage D.2, \(s_{D,2}\) , was modelled in the analysis of the Victoria data. A uniform distribution with an upper limit corresponding to the subsampling percentage was thus used as prior distribution of the D.2 specific-, as well as general sampling proportion \(s_{g}\) , i.e. \(s_{D,2}\sim U(0,0.1)\) and \(s_{g}\sim U(0,0.5)\) . Setup files for all four analyses can be found as Supplementary Files.
+
+<|ref|>text<|/ref|><|det|>[[89, 321, 909, 427]]<|/det|>
+MCMC chains were run until all parameters converged, which took about 300 million steps for analyses of data from Denmark, Scotland and Switzerland. Because of the large D.2 cluster consisting of more than 900 sequences, about 750 million steps were needed for convergence using data from Victoria. On an Intel Xeon CPU E5- 2687W (3.1 Ghz; \(2\mathrm{x}12\) cores), this corresponded to about 15 hours to run one analysis for at least 300 million MCMC steps (about 3min/Msample). Log files were assessed using Tracer [49] and are included as Supplementary Files. TreeAnnotator was used to summarize the posterior sample of phylogenetic trees to a maximum clade credibility tree using median node heights. Lineage through time plots of all summary trees were calculated using the R package ape [42] and are shown in Supplementary Note 2.
+
+<|ref|>sub_title<|/ref|><|det|>[[90, 440, 308, 455]]<|/det|>
+## Relative case detection rate
+
+<|ref|>text<|/ref|><|det|>[[90, 455, 905, 486]]<|/det|>
+We used GlnPipe to detect changes in SARS- CoV- 2 case detection. Let us denote by \(P_{t}(\mathrm{tested}|\mathrm{infected})\) the proportion of infected individuals that are actually diagnosed with the virus in week \(t\) . According to Bayes' theorem we have
+
+<|ref|>equation<|/ref|><|det|>[[129, 492, 905, 518]]<|/det|>
+\[P_{t}(\mathrm{tested}|\mathrm{infected}) = \frac{P_{t}(\mathrm{infected}|\mathrm{tested})\cdot P_{t}(\mathrm{tested})}{P_{t}(\mathrm{infected})} \quad (2)\]
+
+<|ref|>text<|/ref|><|det|>[[89, 525, 909, 636]]<|/det|>
+where \(P_{t}(\mathrm{infected}|\mathrm{tested})\) denotes the proportion of tested individuals that are infected, \(P_{t}(\mathrm{tested})\) the proportion of individuals that are tested and \(P_{t}(\mathrm{infected})\) the proportion currently infected in week \(t\) . We calculate \(P_{t}(\mathrm{infected}|\mathrm{tested}) = \frac{r_{\mathrm{pos}} - (1 - s p e c)}{s e n s - (1 - s p e c)}\) from the positivity rate \(r_{\mathrm{pos}}\) of the conducted tests, corrected for the clinical sensitivity \(s e n s = 0.7\) and specificity \(s p e c = 0.999\) of the diagnostic tests [57]. For calculating the probability of being tested \(P(\mathrm{tested})\) , we considered linear-, Poisson- and Binomial models, all of which yielded identical results. For all illustrations herein, we used the latter, yielding \(P_{t}(t e s t e d) =\) \(1 - (1 - 1 / p o p)^{n_{t}}\) , with \(p o p\) denoting the population size in the respective regions or country and \(n_{t}\) denoting the number of tests conducted in the respective week.
+
+<|ref|>text<|/ref|><|det|>[[90, 635, 909, 687]]<|/det|>
+The probability of currently being infected \(P(\mathrm{infected})\approx \frac{N_{\mathrm{eff}}}{p o p}\) is unknown. However, since we know that \(N_{\mathrm{eff}}\) is linearly correlated with the incidence estimate \(\phi\) , we have \(P(\mathrm{infected})\approx c\cdot \frac{\phi}{p o p}\) . Putting everything together we can estimate the relative case detection rate:
+
+<|ref|>equation<|/ref|><|det|>[[130, 694, 599, 736]]<|/det|>
+\[P_{t}(\mathrm{tested}|\mathrm{infected})\cdot c = \frac{p o p}{\phi_{t}}\cdot \frac{r_{p o s} - (1 - s p e c)}{s e n s - (1 - s p e c)}\cdot \left(1 - \left(1 - \frac{1}{p o p}\right)^{n_{t}}\right)\]
+
+<|ref|>text<|/ref|><|det|>[[90, 744, 841, 760]]<|/det|>
+Sources for the weekly number of performed tests, as well as test positive rates are stated in Supplementary Note 3.
+
+<|ref|>sub_title<|/ref|><|det|>[[90, 777, 289, 794]]<|/det|>
+## Author Contributions
+
+<|ref|>text<|/ref|><|det|>[[90, 800, 909, 846]]<|/det|>
+Conceptualization, M.R.S., M.T. and M.v.K.; Methodology, M.R.S., M.T., A.W., D.K. and M.v.K.; Investigation, M.R.S., M.T., A.W., Y.D. Writing - Original Draft, M.R.S., M.T., A.W. and M.v.K.; Writing- Review and Editing, M.R.S., M.T., A.W., D.K. and M.v.K.; Funding Acquisition, A.W., D.K. and M.v.K.; Supervision, D.K. and M.v.K.;
+
+<|ref|>sub_title<|/ref|><|det|>[[91, 862, 275, 880]]<|/det|>
+## Acknowledgements
+
+<|ref|>text<|/ref|><|det|>[[90, 886, 909, 917]]<|/det|>
+The authors acknowledge all labs contributing SARS- CoV- 2 sequences to the GISAID EpiCoV database as stated in Supplementary Note 4.
+
+<--- Page Split --->
+<|ref|>sub_title<|/ref|><|det|>[[90, 80, 158, 94]]<|/det|>
+## Funding
+
+<|ref|>text<|/ref|><|det|>[[90, 95, 908, 156]]<|/det|>
+M.R.S., M.T., Y.D. and MvK acknowledge funding from the Germany ministry for science and education (BMBF; grant numbers 01KI2016 and 031L0176A). D.K. and A.W. acknowledge funding from the Max Planck Society. A.W. acknowledges financial support through a scholarship (Landesgraduiertenstipendium), funded by the State of Thuringia, Germany. The funders had no role in designing the research or the decision to publish.
+
+<|ref|>sub_title<|/ref|><|det|>[[90, 169, 245, 184]]<|/det|>
+## Conflicts of interest
+
+<|ref|>text<|/ref|><|det|>[[90, 186, 435, 200]]<|/det|>
+The authors declare that no conflicts of interest exist.
+
+<|ref|>sub_title<|/ref|><|det|>[[90, 217, 197, 234]]<|/det|>
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+<--- Page Split --->
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+## Supplementary Files
+
+<|ref|>text<|/ref|><|det|>[[44, 93, 765, 114]]<|/det|>
+This is a list of supplementary files associated with this preprint. Click to download.
+
+<|ref|>text<|/ref|><|det|>[[60, 130, 347, 178]]<|/det|>
+BEAST2ConfigurationFiles.zip nCovPopDynAppendix.pdf
+
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