Nejmoa1506110 Appendix
Nejmoa1506110 Appendix
Nejmoa1506110 Appendix
This appendix has been provided by the authors to give readers additional information about their work.
Supplement to: Baeten JM, Palanee-Phillips T, Brown ER, et al. Use of a vaginal ring containing dapivirine for
HIV-1 prevention in women. N Engl J Med 2016;375:2121-32. DOI: 10.1056/NEJMoa1506110
Table of Contents, Supplementary Material
MTN-020/ASPIRE
Table S7. Incident sexually transmitted infections during follow-up, by study arm 59
Figure S3. Dapivirine detection in returned, used rings and association with detection in
69-70
plasma
Figure S4. HIV-1 incidence by study arm, overall and among pre-specified subgroups 71
Figure S5. Adverse events occurring in >0.5% of the study population (in addition to
72-75
Table 2)
2
MTN-020/ASPIRE Study Team:
Malawi: Lilongwe site (University of North Carolina Project): Chimwemwe Baluwa, Gabriel
Banda, Blessings Banda, Towera Banda, Linda Chikopa, Mary Chindebvu, Joseph Chintedza,
Lameck Chinula, Fred Chitema, Gladys Chitsulo, Grace Chiudzu, Nelecy Chome, Ntchindi
Gondwe, Irving Hoffman, Emma Kachipapa, Ivy Kaliati, Angella Kalulu, Getrude Kamwana,
Jane Kilembe, Madawa Kumwenda, Wiza Kumwenda, Phaleda Kumwenda, Thandie Lungu,
Chalimba Lusewa, Yvonne Makala, Clement Mapanje, Francis Martinson, Wongani Mhango,
Nkhafwire Mkandawire, Tawonga Mkochi, Emmie Msiska, Lusungu Msumba, Mathews
Mukatipa, Joyce Mwese, Margret Ndovie, Thokozani Nkhalamba, Naomi Nyirenda, Dorothy
Sichali, Hannah Stambuli, Gerald Tegha, Tapiwa Tembo, Tchangani Tembo
South Africa: Cape Town site (University of Cape Town): Millicent Atujuna, Shaun
Barnabas, Linda-Gail Bekker, Dyan Belonje, Nomsa Cengimbo, Harrite Achu Chabanga,
Thobeka Coba, Danielle Crida, Jacqueline Dallimore, Nwabisa Danster, Siphuxolo Dikili, Riana
Dippenaar, Penina Dlulane, Pamella Dukwe, Lindelwa Dyabeni, Llewellyn Fleurs, Nosiphelo
Pretty Funda, Jennipher Gelant, Litha Gogo, Sibusiso Gumede, Nondumiso Hlwele, Thandiwe
Hobongwana, Lindsay Jeffery, Maria Jose, Babalwa Khaya, Thembisile Khumalo, Nicola Killa,
Melanie Maclachlan, Nocwaka Magobiane, Ferial Mahed, Pamela Makhamba, Gakiema Malan,
Avril Masters, Nombongo Mayekiso, Thobelani Mcayiya, Bukiwe Mngqebisa, Noxolo Mona,
Zanoxolo Mthethi, Norah Nandudu, Bungane Ngayi, Nontshukumo Ngqabe, Sivuyile Max
Nkomiyapi, Mluleleki Nompondwana, Vuyokazi Ntlantsana, Mzamo Ntshoko, Nazmie Pearce,
Naomi Peterson, Minah Radebe, Takalani Radzilani, Heaben Rainers, Sabelo Rasmeni,
Doerieyah Reynolds, Noluvo Rode, Surita Roux, Nokwayintombi Scotch, Kate Snyder, Natalie
Temmers, Ciska Thompson, Thandokazi Tofile, Nomvuselelo Tshongoyi, Dorothie Van Der
Vendt, Christelle Van Niekerk, Monica Vogt, Melissa Wallace, Philippa Woolley, Ntando Yola,
Katherine Young
South Africa: Durban eThekwini site (Centre for AIDS Programme of Research in South
Africa): Diana Chetty, Lorna Dias, Msizi Dladla, Tanuja Gengiah, Magashree Govender,
Ishana Harkoo, Shannie Kamal, Mona Kasaval, Isabel Khan, Siphosihle Khanyile, Christina
Khwela, Lungile Kubheka, Londiwe Luthuli, Nomusa Mabasa, Bernadette Madlala, Bhavna
Maharaj, Nonkululeko Mayisela, Asanda Mdunge, Wendy Mkhize, Avril Mngadi, Atika Moosa,
Kalendri Naidoo, Anushka Naidoo, Gonasagrie Nair, Lungani Ndwandwe, Varnika Ramdhani,
Joanne Richards, Claudia Shozi, Chandraphrabha Singh, Nompumelelo Zungu
South Africa: Durban – Botha’s Hill, Chatsworth, Isipingo, Tongaat, Umkomaas, Verulam
sites (South African Medical Research Council): Nathlee Abbai, Faeeza Arbee, Amit
Ashokumar, Asthi Aungadh, Lindiwe Baba, Sasha Baboolal, Kajal Balkaran, Sivuyisiwe Bebeza,
3
Hassen Bhayat, Bongiwe Bhengu, Rosemary Bhengu, Bongisile Biyela, Resha Boodhram,
Phindile Bulose, Phelelani Buthelezi, Samkelisiwe Buthelezi, Sifiso Buthelezi, Thobekile
Buthelezi, Lindiwe Buthelezi, Philisiwe Buthelezi, Lizo Buyeye, Samiksha Byroo, , Samkelisiwe
Cebisa, Naureen Cele, Veronica Chamane, Candice Chetty, Keisha Chitray, Phumelele
Chonco, Anil Choonilall, Kerusha Chunderduri, Siyabonga Cibane, Shellendra Devnarain,
Nischal Dhanpal, Nqubelo Dladla, Duduzile Dlamini, Ethel Dlamini, Nonhlanhla Dubazane, Faith
Dube, Cebo Duma, Ziningi Dwayisa, Nkosinathi Faya, Tasneem Gaffoor, Zakir Gaffoor, Rupa
Ganesh, Shayhana Ganesh, Sharika Gappoo, Thobile Gasa, Natasha Gounden, Dhevium
Govender, Devina Govender, Melissa Govender, Netricia Govender, Shanthie Govender,
Vaneshree Govender, Vijayanand Guddera, Phindile Guga, Edith Gumede, Sibusisiwe
Gumede, Charlene Harichund, Avika Haridutt, Jeetendra Harilal, Ishina Hemchund, Patricia
Hlangu, Thulebona Hlela, Mzophilayo Hlophe, Nivriti Hurbans, Rabia Imamdin, Lakshmi
Jagesur, Nitesha Jeenarain, Kaminee Jainarain, Marwah Jenneker, Ayanda Jokozela, Vermala
Juggernath, Nirodh Juggessar, Rookaya Kadwa, Duduzile Prudence Khaba, Vincent
Khalishwayo, Lungile Khanyile, Nombuso Khanyile, Raphael Khanyile, Mbali Khomo, Norah
Khoza, Nonhlanhla Khubone, Ntuthuko Khumalo, Thembinkosi Kleiman Khumalo, Nokukhanya
Khuzwayo, Girisha Kistansami, Nothemba Kumalo, Larin Labuschange, Paradise Lembethe,
Mbali Mabaso, Sabelo Mabaso, Phumzile Mabusela, Fathima Sayed, Pearl Maduna, Phumzile
Magwaza, Rashika Maharaj, Tabita Mahlangeni, Nonhlakanipho Makeka, Nompumelelo
Makhanya, , Nkosinathi Makhoba, Lungile Maphumulo, Nonhlanhla Maphumulo, Virginia Mavis
Busisiwe Maphumulo, Emmerentia Marx, Nkosinamandla Masinga, Sandile Sydney Mavundla,
Thandazile Mbatha, Timothy Mbeje, Mandla Mbeko, Silindile Mbhele, Sandile Mbonambi, Faith
Mbuyisa, Michael Mchunu, Nokufika Mchunu, Professor Mdepha, Mduduzi Is Mdletshe, Sihle
Meyiwa, Nonthando Mhlaba, Refilwe Mhlongo, Zaselangeni Mhlongo, , Ntombizethu Mkhabela,
Lauretta Mkhithi, Lorraine Mkhize, Zinhle Mkhize, Silindile Mkhize, Zaba Mkhize, Thokozani
Mkhize, Zwelethu Mkhunyo, Nompumelelo Mkhwanazi, Nompumelelo Mnikathi, Nonzwakazi
Mnqonywa, Mbuti Mofokeng., Jayajothi Moodley, Jeeva Moodley, Javanika Moodley, Ramona
Moodley, Sharon Moodley, Suri Moonsamy, Neetha Morar, Nonhlanhla Mphili, Innocentia
Mpofana, Lindiwe Cecilia Mshibe, Lindumusa Douglas Msomi, Samukelo Msomi, Thabile
Msomi, Simakade Msweli, Emmanuel Mthalane, Bongumusa Mthembu, Funeka Mthembu,
Thabisile Mthembu, Ntokozo Z Mthethwa, Sicelo Mthimkhulu, Mary-Ignatia Mthlane,
Samkelisiwe Mvelase, Goodness Zoh Mvuyane, Lungile Mzimela, Ntokozo Mzimela, Angeline
Mzolo, Kumari Naicker, Selvamoney Naicker, Vimla Naicker, Anika Naidoo, Sarita Naidoo,
Avashri Naidoo, Ishana Naidoo, Jason Naidoo, Jayganthie Naidoo, Keshani Naidoo, Logashvari
Naidoo, , Shereen Naidoo, Sumeshen Naidoo, Nalini Naidu, Alisha Naras, Tashni Nayager,
Nombuyiselo Ncayiya, Nonpumeleo Ndaba, Sanele Ndaba, Tholakele Ndala, Pamela Ndamase,
Sphindile Ndlovu, Zakhona Ndlovu, James Ndlovu, Senamile Ndlovu, Duduzile Edith
Ndwandwe, Khethiwe Joyce Ngobese, Hlengiwe Ngubane, Mduduzi Ngubane, Sibusiso Nhleko,
Nishi Nursayhe, Nomfanelo Nxumalo, Khombisile Nyawo, Kerusha Padayachee, Levanya
Paramanund, Arendevi Pather, Melanie Perumal, Bathandekile Phahlamohlaka, Jessica Phillip,
Jasmin Pillay, Omisha Pillay, Pragasi Pillay, Thotheravani Pillay, Yugashnee Pillay, Anamika
Premrajh, Ravendran Punianathan, Luleka Qhogwana, Presha Rajpal, Shiritha Ramdass,
Varnika Ramdhani, Gita Ramjee, Nirmala Ramluckan, Sureka Ramnarain, Anand Rampersadh,
Renita Ramsumair, Aruna Ratanjee, Meryl Reddy, Melenie Reddy, Neil Reddy, Tharuna Reddy,
Vanitha Sakloo, Nosisa Saul, Smangaliso Shangase, Zinhle Shazi, Zilungile Shembe, Zandile
Shobede, Samuel Sibisi, Thamsanqwa Sibisi, Zweni Sibiya, Nishanta Singh, Hailey Sithole,
Lindiwe Sithole, Samantha Siva, Mandisa Skhosana, , Devarani Soobryan, Elizabeth Spooner,
Sizakele Sukazi, Renate Teise, , Tholly Tenza, Themba Tshabalala, Bomkazi Tutshana, Ashvir
Udith, Leanne Vallabhjee, Arona Vijay, Hlengiwe Vilakazi, Brenton Viriah, Bhekisisa Wanda,
Kubashni Woeber, Thabile Zondi, Thembekile Zulu, Nokuthula Zungu, Phumzile Zungu, Irvin
Zwane
4
South Africa: Johannesburg site (Wits Reproductive Health and HIV Institute): Reneilwe
Boikanya, Primrose Bojosi, Rutendo Bothma, Busisiwe Cebekhulu, Sarah Cohen, Sinead
Delany-Moretlwe, Linh Diep, Clare Dott, Nosipho Gloria Duba, Ntombifuthi Maureen Dube,
Portia Ignatia Duma, Livhuwani Millicent Lucia Farisani, Lizzy Gama, Nkgolo Maria Gegana,
Nerusha Govender, Sovia Gubayo, Nomsa Gumede, Mikey Parsotham Guness, Marilyn Anne
Hoggan, Emily Kekana, Moeketsi David Kgaritsi, Farzana Khan, Themba Langa, Mavis
Mantshitseng Madi, Nomfundo Maduno, Pholo Wilson Maenetje, Busisiwe Magazi,
Moshukutjoane Lebogang Maila, Kgabo Phineas Makgoka, Bathabile Sithandokuhle Makupula,
Nolwazi Nosipho Manzingana, Faith Maputla, Mosidi Calphurnia Maraba, Romeo Martin,
Elizabeth Serati Marule, Nombulelo Maseko, Portia Maseko, Nonkululeko Mashabane, Thabang
Ephraim Mashiane, Florence Tintswalo Mathebula, Matheus Mathipa, Xolelwa Judy Matikinca,
Nkosinathi Vincent Mazibuko, Elizabeth Gugu Mlangeni, Mandla Denis Mlotshwa, Bosisiwe
Mnguni, Mampu Modau, Constance Lebohang Modise, Kebuang Mercia Mokgatle, Emelina
Tebogo Mokoena, Ann Ophilia Mothle, Magdeline Judith Mthethwa, Emmanuel Sinothi
Mthalane, Angeline Doreen Nonhlanhla Mzolo, Elizabeth Nage, Anika Devi Naidoo, Merrilee-
Anne Naidoo, Sandy Naidoo, Ishana Naidoo, Nkosinathi Lindela Emmanuel Ncgobo, Duduzile
Ethel Ncube, Thembisile Wilmah Ndhlozi, Nontokozo Thandeka Ngcobo, Jonas Ngoetjana,
Ringson Ngozo, Lerato Prudence Ngwenya, Dikeledi Nhlapo, Lindelwa Nkangane, Angel Tinny
Nyathi, Ogheneruemu Vincent Okwuolise, Thesla Palanee-Phillips, Patricia Pamacheche,
Sechaba Tumelo Pitso, Mankwana Pheida Ramafalo, Patience Ramalo, Pranitha Ramchuran,
Varnika Ramdhani, Krishnaveni Reddy, Vera Helen Rees, Altaf Sharif, Sylvia Sibongile Sibeko,
Siphokazi Sibisi, Wanile Phumzile Sibisi, Vuyane Sizane, Joel Steingo, Reginah Stuurman,
Lungiswa Phidelia Thobejane, Lavhelesani Cicilia Tjale, Mpho Tshabalala, Bart Verheyden,
Amukelani Califonia Vuma
5
Program): Thembelihle N S Bafana Munatsi, Marvis Banda, Adlight Chandipwisa, Gift T
Chareka, Charles Z Chasakara, Tinashe Chidemo, Debra Chigwanha, Emilder Chihota,
Sungano Chikono, Anesu Chikonyora, Agnes Chikuni, Zvavahera M Chirenje, Tobias
Chitambo, Cathrine Chitsinde, Miria Chitukuta, Trust Chivasa, Patricia M Dhlakama, Lucy Godo,
Pardon Gomani, Rodney Goreraza, Norah S Gwete, Kudzai Hlahla, Portia Hunidzarira, Tendai
D Hwehwe, Fiona Kachingamire, Cecilia Katanda, Hilary Katema, Terrance Kufakunesu,
Margaret Kundeya, Irene Kutinyu, Tarirai Madovi, Tsitsi M Magure, Thecla C Makaya, Rujeko
Makoni, Sibongile Makwenda, Loreen Z Mangove, Trace Manyeruke, Annie Mapfunde, Chiedza
E C Maponga, Moira Masango, Tapiwa B Masara, Martha Masawi, Shingirayi I Masuko,
Angeline Matanhire, Sophia Matenda, Jacob M Matsa, Allen T Matubu, Celia M J Matyanga,
Nyaradzo M Mgodi, Felina Mhangami, Erasmus S Mhizha, Margaret Mlingo, Chido T Mlingo,
Taina M Motsi, Tariro AM Mpofu, Caroline Mugocha, Faith Mugodhi, Nkhoma Mugowe, Felix G
S Muhlanga, Shorai Mukaka, Shedina Mukova, Otillia Munaiwa, Marshall W Munjoma, Marigold
Mupunga, Tarisai Murefu, Grant Murewanhema, Petina Musara, Prisca Mutero, Fiona Mutisi,
Tariro Muvunzi, Tinaye R L Muzamhindo, Sailas Mwakurudza, Elaine Mwandiwata, Sithabile
Ncube, Egifa Ncube, Pepukai Ndadziyira, Grecenia Ndhlovu, Edward Ngwindi, Omega
Nyabadza, Sandra Nyakudya, Ennviolata C Nyawera, Fadzai Rimau, Nyaradzo Rupondo,
Chenai Rushwaya, Lydia N Samaneka, Berlindah N Shawatu, Rachel Shonhiwa, Thelma T
Tauya, Monica Thompson, Christine Vuta, Margret Zinyongo
Microbicides Trials Network Leadership and Operations Center – FHI 360: Kat Calabrese,
Cheryl Cokley, Ashley Mayo, Rachel Scheckter, Katie Schwartz, Kristine Torjesen, Rhonda
White
Microbicides Trials Network Leadership and Operations Center – RTI International: Helen
Cheng, Miriam Hartmann, Ariana Katz, Nicole Laborde, Jonah Leslie, Alexandra Lutnick,
Elizabeth T. Montgomery, Elizabeth Pleasants, Mary Kate Shapley-Quinn, Ariane van der
Straten
6
Microbicides Trials Network Laboratory Center – Virology Core (University of Pittsburgh):
Kristen Hamanishi, Krista Eskay, Kelley Gordon, Elias Halvas, Russell Hardesty, John Mellors,
Amy Opest, Urvi Parikh, Kerri Penrose
Microbicides Trials Network Statistical and Data Management Center (Statistical Center
for HIV/AIDS Research and Prevention, Fred Hutchinson Cancer Research Center):
Janne Abullarade, Maija Anderson, Jennifer Balkus, Deborah Bassuk, Jen Berthiaume, Joleen
Borgerding, Elizabeth Brown, Claire Chapdu, Craig Chin, Missy Cianciola, Cheryl DeBoer,
Elaine Dinnie, Martha Doyle, Drew Edwards, Jackie Fitzpatrick, Sharavi Gandham, Haixiao
Huang, Marla Husnik, Stacie Kentop, Jenna Krause, Karen Liu, Iraj Mohebalian, Cindy Molitor,
Jason Pan, Karen Patterson, Barbra Richardson, Jenn Schille, Katie Snapinn, Daniel Szydlo,
Jenny Tseng, Christine Unten, Katie Weaver, Della Wilson
US National Institutes of Health: Bola Adedeji, Roberta Black, Ronald Barnett, Jane Bupp,
Nahida Chakhtoura, Grace Chow, Naana Cleland, Nancy Cogliano, Joanne Csedrik, Carl
Dieffenbach, Emily Erbelding, Scharla Estep, Lester Freeman, Donna Germuga, Cynthia
Grossman, Judene Hinds, Ana Martinez, Joanne O’Brien, Manizhe Payton, Amy Perez, Jeanna
Piper, Dara Potter, Anne Rancourt, Dianne Rausch, Denise Russo, Delta Saint-Vil, Usha
Sharma, Rona Siskind, Laura Sivitz Leirman, Lydia E. Soto-Torres, Kathy Stover, Steven
Towers, Fulvia Veronese, Sheryl Zwerski
International Partnership for Microbicides: Hannelie Carstens, Allison Carter, Tiffany Derrick,
Bríd Devlin, Anita Garg, Mariette Malherbe, Winel Mans, Annalene Nel, Jeremy Nuttall, Zeda
Rosenberg, Marisa Russell, Euan Seaton, Leonard Solai, Patrick Spence, John Steytler,
Neliette van Niekerk, Kathie Windle
MTN-020/ASPIRE Study Monitoring Committee: Roberta Black, Ward Cates, Connie Celum,
Charlene Dezzutti, Deborah Donnell, James Hughes, Sheena McCormack, Lei Wang
7
Table S1. Enrollment, by study site
8
Table S2. Study inclusion and exclusion criteria
Women must have met all of the following criteria to be eligible for inclusion in the study.
Women who met any of the following criteria were excluded from the study.
9
Table S3. Site Institutional Review Boards/Ethics Committees
10
Table S4. Study visits and procedures
Monthly Quarterly Semi-Annual Study Exit/
SCR ENR Visits Visits Visits PUEV** Term. Visit
ADMINISTRATIVE AND REGULATORY
Obtain informed consent X X
Assign a unique Participant Identification (PTID) number X
Assess and/or confirm eligibility X X
Collect/review/update locator information X X X X X X X
Randomization X
Provide reimbursement X X X X X X X
Schedule next visit * X X X X X *
BEHAVIORAL
Contraceptive counseling X X X X X
Protocol adherence, including VR adherence counseling X X X X
HIV/STI risk reduction counseling X X X X X X X
HIV pre- and post-test counseling X X X X X X X
Conduct a behavioral assessment includes sexual activity,
condom use, and intravaginal practices X X X X X
Conduct an adherence assessment X X X X
Conduct an acceptability assessment X X X
Conduct social harms assessment X X X
CLINICAL
Obtain/update medical and menstrual history X X X X X X X
Obtain/update concomitant medications X X X X X X X
Conduct a physical examination X X * X X X
Perform a pelvic exam X *₸ *₸ *₸ X X * ₸
Prescribe contraceptives * * * * * * *
Disclose available test results X X X X X X
Record/update AEs X X X X X
Treat or prescribe treatment for UTIs/RTIs/STIs or refer for
other findings * * * * * * *
LABORATORY
hCG X X X X X X X
URINE
Urine culture * * * * * * *
NAAT for GC/CT X * * * X * *
HIV-1 Serology X X X X X X X
CBC with platelets X X X X
BLOOD
Chemistries X X X X
Syphilis serology X * * * X
Plasma ◊ X X X X
Study VR adherence assessment(s) * * * *
Rapid test for Trichomonas X *₸ * ₸ *₸ X *₸ *₸
Herpes lesion testing *₸ *₸ *₸ *₸ *₸ *₸ *₸
Vaginal fluid pH X₸ *₸ *₸ *₸ X X *₸
PELVIC
11
Table S5. Statistical design and analysis approach
The trial was designed with 90% power to detect a 60% reduction in risk of HIV-1 infection, with a
one-sided alpha of 0.025. Like other trials of novel HIV-1 prevention interventions, the trial was powered
so that lower bound of the 95% confidence interval, if the reduction in HIV-1 achieved 60%, would
This use of a non-zero null hypothesis for power calculations was done for several reasons.
First, some in the field have argued results would garner greater confidence by public health
policymakers for later implementation if interventions were demonstrated to have effects that were
definitively separate from zero. Second, if behavioral disinhibition or other factors that might undermine
HIV-1 protection effectiveness in real-world settings were to occur, then products with higher HIV-1
protection estimates in clinical trials may have some cushion for implementation. Third, when this trial
was designed it was to be the only phase III trial of this product, and thus, for regulatory reasons a more
strongly powered study was desired – specifically, if a single pivotal trial is planned, then its power must
be greater than that of a single well-powered trial (for US FDA requirements, at least one and one-half
times the power of a single trial); one way to achieve that additional power is to have a non-zero null and
to conduct interim monitoring of effectiveness against that non-zero null (thus ensuring that the trial would
not stop too early for too small of an effect that would not as a single trial meet regulatory guidelines).
However, several features of the study and developments in the field contributed to the analysis
plan for the present study. First, from its inception, the statistical plan for this trial anticipated a primary
analysis against a standard null of zero, with secondary analyses done against the non-zero null.
Consistent with this approach, interim monitoring for futility in the trial was against a null of zero, not
against a null of 25%. Second, after this trial was designed, The Ring Study, a second evaluation of the
dapivirine vaginal ring, was expanded from an extended phase II study to be a phase III study. The
design of the present study was not changed, but the regulatory plan to consider only one pivotal trial for
HIV-1 protection effects was modified to include both studies. Finally, other trials in this field that have
been designed with non-zero null effects have presented their primary findings against the standard zero
null – defined in the table below. The iPrEx example is particularly important. That trial was designed
against a non-zero null of 30%, but it failed to rule out that effect in its primary analysis (its lower bound of
12
the 95% confidence interval was 15%). However, in combination with other data from the field, it served
as a pivotal study for the regulatory approval and normative guidance regarding combination
acquisition.
* For the Partners PrEP Study and VOICE, where more than one active arm was tested, only the oral
13
Table S6. Primary safety events, detailed listing
The primary safety endpoint for the study was defined as a composite of any serious adverse event, any
death, any Grade 3 and 4 adverse events, and any Grade 2 adverse event assessed by the study
clinicians as related to the study product. Table S6 presents all primary safety events by type of adverse
event, treatment group, grade, and relatedness assessment: serious adverse events (Table S6a), deaths
(Table S6b), Grade 4 events (Table S6c), Grade 3 events (Table S6d), and Grade 2 events assessed as
related (Table S6e). Serious adverse events would encompass the deaths as well as any of the other
primary safety events deemed to be serious, and thus there is duplication between Table S6a and some
parts of the other tables.
14
Table S6a. Serious adverse events (page 1 of 14)
15
Table S6a. Serious adverse events (page 2 of 14)
16
Table S6a. Serious adverse events (page 3 of 14)
17
Table S6a. Serious adverse events (page 4 of 14)
18
Table S6a. Serious adverse events (page 5 of 14)
19
Table S6a. Serious adverse events (page 6 of 14)
20
Table S6a. Serious adverse events (page 7 of 14)
21
Table S6a. Serious adverse events (page 8 of 14)
22
Table S6a. Serious adverse events (page 9 of 14)
23
Table S6a. Serious adverse events (page 10 of 14)
24
Table S6a. Serious adverse events (page 11 of 14)
25
Table S6a. Serious adverse events (page 12 of 14)
26
Table S6a. Serious adverse events (page 13 of 14)
27
Table S6a. Serious adverse events (page 14 of 14)
28
Table S6b. Deaths (page 1 of 1)
29
Table S6c. Grade 4 events (page 1 of 7)
30
Table S6c. Grade 4 events (page 2 of 7)
31
Table S6c. Grade 4 events (page 3 of 7)
32
Table S6c. Grade 4 events (page 4 of 7)
33
Table S6c. Grade 4 events (page 5 of 7)
34
Table S6c. Grade 4 events (page 6 of 7)
35
Table S6c. Grade 4 events (page 7 of 7)
36
Table S6d. Grade 3 events (page 1 of 19)
37
Table S6d. Grade 3 events (page 2 of 19)
38
Table S6d. Grade 3 events (page 3 of 19)
39
Table S6d. Grade 3 events (page 4 of 19)
40
Table S6d. Grade 3 events (page 5 of 19)
41
Table S6d. Grade 3 events (page 6 of 19)
42
Table S6d. Grade 3 events (page 7 of 19)
43
Table S6d. Grade 3 events (page 8 of 19)
44
Table S6d. Grade 3 events (page 9 of 19)
45
Table S6d. Grade 3 events (page 10 of 19)
46
Table S6d. Grade 3 events (page 11 of 19)
47
Table S6d. Grade 3 events (page 12 of 19)
48
Table S6d. Grade 3 events (page 13 of 19)
49
Table S6d. Grade 3 events (page 14 of 19)
50
Table S6d. Grade 3 events (page 15 of 19)
51
Table S6d. Grade 3 events (page 16 of 19)
52
Table S6d. Grade 3 events (page 17 of 19)
53
Table S6d. Grade 3 events (page 18 of 19)
54
Table S6d. Grade 3 events (page 19 of 19)
55
Table S6e. Grade 2 events assessed by the managing clinicians as related to the study product (page 1 of 3)
56
Table S6e. Grade 2 events assessed by the managing clinicians as related to the study product (page 2 of 3)
57
Table S6e. Grade 2 events assessed by the managing clinicians as related to the study product (page 3 of 3)
58
Table S7. Incident sexually transmitted infections during follow-up, by study arm
Placebo Dapivirine
Vaginal Ring Vaginal Ring
(n=1316) (n=1313)
Chlamydia trachomatis
Number of cases during follow-up 368 359
Incidence per 100 person-years (95% CI) 17.7 (15.9-19.6) 17.4 (15.7-19.3)
Neisseria gonorrhoeae
Number of cases during follow-up 190 170
Incidence per 100 person-years (95% CI) 9.1 (7.9-10.5) 8.2 (7.0-9.6)
Trichomonas vaginalis
Number of cases during follow-up 183 190
Incidence per 100 person-years (95% CI) 8.8 (7.6-10.2) 9.3 (8.0-10.7)
Testing and treatment for sexually transmitted infections were performed semi-annually and more
59
Table S8. Proportion of HIV-1 seroconverters with antiretroviral resistance, by randomization arm
Plasma samples for HIV-1 antiretroviral resistance testing were obtained at the visit at which HIV-
1 seroconversion was detected (at which time study medication was withdrawn). Resistance testing was
successfully completed on plasma from 170/174 (98%) participants, which included 3/3 participants
acutely infected at enrollment, 164/168 HIV-1 seroconverters while on study product, and 3/3 participants
who seroconverted after their product use end visit. Overall, 4 participants did not have a resistance
result, 3 because of insufficient copies of HIV-1 RNA for extraction (<200 copies/mL) and 1 because of
RNA extracted from plasma was reverse transcribed and HIV-1 pol was PCR amplified and
sequenced using an in-house Sanger sequencing-based population genotyping assay optimized for non-
B HIV-1 subtypes. Population sequences spanned from protease codon 1 through reverse transcriptase
codon 335. The testing laboratory (Microbicide Trials Network Virology Core, University of Pittsburgh
School of Medicine, Division of Infectious Diseases) was certified to perform the in-house genotyping
assay by CLIA and the NIH-sponsored Viral Quality Assurance (VQA) Program at Rush Presbyterian,
Chicago, IL. Mutations in HIV-1 Group M subtype were identified using the Stanford HIV-1 Drug
The frequency of all non-nucleoside reverse transcriptase (NNRTI) mutations were evaluated as
mutations of potential clinical significance for resistance to dapivirine. Of the 164 participants with
successful viral resistance results within the intention-to-treat cohort (i.e., excluding acutely infected
participants and participants that seroconverted after cessation of product use), 10 out of 96 (10.4%) in
the placebo arm had any NNRTI resistant strain, and 8 out of 68 (11.8%) in the dapivirine arm had any
NNRTI resistant strain. The overall occurrence of NNRTI mutations was not different by arm (Fisher’s
Additional analyses examined the frequencies of a subset of four NNRTI resistance mutations
including L100I, K103N, E138K and Y181C because of their potential relationship to dapivirine resistance
based on in vitro selection studies.10 No subjects had HIV-1 with the E138K, L100I or Y181C detected.
Four subjects had HIV-1 with the K103N mutation however the frequency of K103N detection did not
differ by arm (Table S6A). Other NNRTI mutations detected included V90I, K101E, K103S, V106M,
60
V108I, E138A/G, V179D/I/T and H221Y but the frequency of detection of these mutations also did not
differ by arm (Table S6B). Several NNRTI mutations were observed to occur in combination, including
E138A or G with V179D/I/T (n=2), V108I (n=1) or K101E (n=2); K103S with V106M (n=1) and V90I with
K103N (n=2), but the frequency of more than one NNRTI mutation was not different between study arms.
61
Table S8A. Non-nucleoside reverse transcriptase mutation conferring potential resistance to
dapivirine
Placebo Dapivirine
Vaginal Vaginal
Ring Ring
L100I
Overall 0/101 0/69
(0%) (0%)
Among subjects retrospectively found to be HIV-1 infected at enrollment 0/3 0/0
(0%) (0%)
Among subjects who acquired HIV-1 infection after enrollment while on 0/96 0/68
study product (0%) (0%)
Among subjects who acquired HIV-1 infection after the product use end 0/2 0/1
visit (0%) (0%)
K103N
Overall 2/101 2/69
(2.0%) (2.9%)
Among subjects retrospectively found to be HIV-1 infected at enrollment 0/3 0/0
(0%) (0%)
Among subjects who acquired HIV-1 infection after enrollment 1/96 2/68
(1.0%) (2.9%)
Among subjects who acquired HIV-1 infection after the product use end 1/2 0/1
visit (50.0%) (0%)
E138K
Overall 0/101 0/69
(0%) (0%)
Among subjects retrospectively found to be HIV-1 infected at enrollment 0/3 0/0
(0%) (0%)
Among subjects who acquired HIV-1 infection after enrollment 0/96 0/68
(0%) (0%)
Among subjects who acquired HIV-1 infection after the product use end 0/2 0/1
visit (0%) (0%)
Y181C
Overall 0/101 0/69
(0%) (0%)
Among subjects retrospectively found to be HIV-1 infected at enrollment 0/3 0/0
(0%) (0%)
Among subjects who acquired HIV-1 infection after enrollment 0/96 0/68
(0%) (0%)
Among subjects who acquired HIV-1 infection after the product use end 0/2 0/1
visit (0%) (0%)
62
Table S8B. Non-nucleoside reverse transcriptase mutations of potential clinical significance
among subjects who acquired HIV-1 after enrollment*
Placebo Dapivirine
Vaginal Vaginal
Ring Ring
1/96 2/68
V90I
(1.0%) (2.9%)
1/96 1/68
K101E
(1.0%) (1.5%)
0/96 1/68
K103S
(0%) (1.5%)
0/96 1/68
V106M
(0%) (1.5%)
0/96 1/68
V108I
(0%) (1.5%)
5/96 3/68
E138A
(5.2%) (4.4%)
0/96 1/68
E138G
(0%) (1.5%)
2/96 1/68
V179D
(2.1%) (1.5%)
0/96 1/68
V179I/T
(0%) (1.5%)
1/96 1/68
H221Y
(1.0%) (1.5%)
63
Supplementary Figure Legends.
Figure S1. HIV-1 testing algorithm. All study sites performed HIV-1 testing using a standard
algorithm. All sites were validated in the algorithm prior to initiating the study and all
participated in ongoing proficiency testing throughout the course of the study. The HIV-1
test kits used at each site were pre-approved prior to use; at each testing time point when
rapid tests were used at least one FDA-approved rapid test kit was used. If rapid HIV-1
testing found a positive result for either or both rapid assays, confirmatory HIV-1 Western
blot and RNA PCR were done, as well as testing for antiretroviral resistance. All Western
blot testing was performed using FDA-approved test kits. Individuals acquiring HIV-1
were offered to continue with follow-up and were referred to local services for HIV-1 care
and support. Seroconversion events were adjudicated by an HIV-1 endpoints committee
that was blinded to randomization assignment.
Figure S2. Dapivirine detection in plasma during follow-up, a) overall and b) by study site.
Plasma was collected at quarterly follow-up visits and was tested for all available
samples (n=9,459) for participants assigned to the trial’s active dapivirine ring arm. In
phase I/II studies, plasma concentrations >95 pg/mL were achieved in most subjects
within 8 hours of ring use and thus concentrations >95 pg/mL were interpreted as
indicating adherence to the dapivirine ring (dark purple). Concentrations between the
lower limit of quantification (LLQ, 20 pg/mL) and 95 pg/mL potentially reflected adherence
or, alternatively, use of the ring for only a few hours prior to the scheduled clinic visit (i.e.,
“white coat dosing”) (medium purple). Levels below the LLQ (BLQ) reflected non-use of
the ring (light purple). Visits at which the participant was on a protocol-defined product
hold (e.g., due to pregnancy) or at which a sample was not available are also indicated
(dark green and light green, respectively). The frequency of detection of dapivirine at
concentrations >95 pg/mL increased over follow-up (generalized linear mixed model with
random intercepts and adjusted for country, p<0.001). The >95 pg/mL cut-off was chosen
to distinguish cases in which the ring was removed during the month and then reinserted
immediately prior to a clinic visit (i.e., <8 hours). In a prior study of this ring, when the ring
was placed under observation, it required at least 8 hours for plasma dapivirine
concentrations to exceed 95 pg/mL in nearly all (88%) research participants.11,12 In that
same study, plasma dapivirine concentrations exceeded this concentration in nearly all
(88%) participants for at least 24 hours after removal of the ring per protocol after 28
days. Thus, the use of the >95 pg/mL cut-off to define adherence may overestimate
adherence for women who removed the vaginal ring for most of the month but reinserted
>8 hours prior to a clinic visit.
Figure S3. Dapivirine detection in returned, used rings: a) boxplot of dapivirine in returned
rings by concentration of dapivirine in concurrently collected plasma and b)
distribution of dapivirine quantity in returned rings and in unused control rings.
Dapivirine was quantified in returned, used rings for subjects assigned to the active
dapivirine vaginal ring arm. In total, 20,770 rings were tested, and for 7,106 visits,
concurrently collected plasma was available (plasma was collected quarterly while rings
were collected monthly). Dapivirine rings were loaded with 25 mg of dapivirine and, in
phase I/II studies, released ~4 mg of dapivirine over a month of continuous use. In
returned, used rings residual levels less than 23.5 mg were defined as adherent, to take
into account dapivirine release across different individuals and allowed assay
performance.
For Figure S3a, results are presented by plasma concentrations: below the lower limit of
quantification (LLQ = 20 pg/mL) (BLQ), LLQ to 95 pg/mL, and >95 pg/mL. Adjusting for
64
site and visit, compared to rings from women with no detectable plasma dapivirine (BLQ),
the average amount of dapivirine remaining in a ring was 0.29 mg (95% CI 0.07-0.51,
p=0.01) less in women with plasma levels between LLQ and 95pg/mL and 2.6 mg (95%
CI 2.37-2.77, p<0.001) less in plasma levels above 95 pg/mL.
Figure S3b shows the probability distribution functions for the amount of dapivirine
measured in rings returned at visits where a participant’s plasma dapivirine level was
greater than 95 pg/mL (green) or less than 95 pg/mL (red). In addition, the probability
distribution for unused active dapivirine arm rings, which were tested with each batch as
an internal control, is presented (black). The grey line segment indicates a residual
dapivirine amount of 23.5 mg, the definition proposed prior to the conclusion of the study
that would define adherence. For control rings (which had not been used), 2.5% had
dapivirine levels measured at less than 23.5 mg. The graph illustrates that, in general,
visits at which plasma dapivirine concentrations were less than 95 pg/mL had residual
dapivirine amounts in the rings relatively similar to, although lower than, control rings,
while visits at which plasma dapivirine concentrations were greater than 95 pg/mL had
lower residual dapivirine amounts. However, there was overlap in the distributions.
Thus, both the plasma dapivirine concentration of >95 pg/mL and the residual ring
amount of <23.5 mg are susceptible to defining a visit as adherent when adherence was
not necessarily sustained for the prior month.
Figure S4. HIV-1 incidence by study arm, overall and among pre-specified subgroups. Overall
analyses include data from all 15 sites and from 13 of the 15 sites (i.e., excluding data
from two sites, observed early in the study to have lower retention and adherence
compared to other sites). The two excluded sites were among nine sites located in South
Africa, seven of which were located in the KwaZulu-Natal province. Excluding those two
sites, the relative risk reduction for HIV-1 for South Africa sites was 38% (95% CI 7-58%,
p=0.02, n=100 events) and for KwaZulu-Natal 36% (95% CI 0-600%, p=0.05, n=78
events). The p-values for overall intention-to-treat analyses apply to the hypothesis of
any evidence of HIV-1 protection (i.e., testing against a null hypothesis of 0%), which was
defined in the trial’s Statistical Analysis Plan as the primary trial comparison.
Figure S5. Adverse events occurring in >0.5% of the study population. Adverse events are
ordered by the magnitude of difference between the study arms (dapivirine minus
placebo). Blue triangles and red circles indicate the absolute proportion of subjects
experiencing each adverse event in the dapivirine and placebo arms, respectively.
Forest plots define the difference in frequency and 95% confidence interval. The study
database recorded all Grade 2 or higher adverse events as well as all Grade 1 laboratory
and genitourinary system events, regardless of assessed relationship to the study
product.
65
Figure S1. HIV-1 testing algorithm
66
Figure S2a. Dapivirine detection in plasma during follow-up
67
Figure S2b. Dapivirine detection in plasma during follow-up, by study site
68
Figure S3a. Dapivirine detection in returned, used rings, by concentration of dapivirine in concurrently collected plasma
25
Ring (mg)
20
15
Plasma (pg/mL)
69
Figure S3b. Distribution of dapivirine quantity in returned rings and in unused control rings
70
Figure S4. HIV-1 incidence by study arm, overall and among pre-defined subgroups.
71
Figure S5. Adverse events occurring in >0.5% of the study population (in addition to Table 2) [4 pages]
72
73
74
75
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