PROTOCOL SUMMARY:

Long title: Convalescent Plasma to Treat Coronavirus - Associated Severe Pulmonary

Complications: A Feasibility Study Assessing the Safety of Multiple Doses of Anti-
SARS-CoV-2 Plasma in Mechanically Ventilated Intubated Patients with Respiratory
Failure due to COVID-19

Short title: CPPulm-001

Clinical Phase: 1

IND Sponsor: Johns Hopkins via a National IND, or IND Exemption for Human Plasma

Conducted by: UPMC, Cedars Sinai, Johns Hopkins and other potential sites

I. Study Design: This is a single-arm feasibility study to assess the safety of anti-
SARS-CoV-2 convalescent plasma (CP) in intubated, mechanically ventilated
patients with confirmed COVID-19 pneumonia by chest X-ray or chest CT.

II. Study Population: Mechanically ventilated intubated COVID-19 patients aged

18 years or older.

III. Study Duration: March 30, 2020 to December 31, 2022.

IV. Sample Size: 30

V. Covariates: The following will be evaluated in all subjects:

a. age, sex, comorbidities, date of symptoms, type of admission, APACHE II score,

modified SOFA score, clinical status, vital signs including temperature,
respiratory rate, oxygen saturation, oxygen requirement, CBC with neutrophil
counts, lymphocytes count, chest x-ray, chest CT
b. TRALI (incidence 1:5000 transfusions) within 12 hours of CP infusion
c. Safety – T(0) baseline, daily while in ICU, weekly in the hospital, day 28, day 60
Blood specimens for immune antibody correlatives1 to SARS-CoV-2 as feasible.
d. Study Agent: SARS-CoV-2 convalescent plasma (1-2 units; ~200-600 mL) from
MALE DONORS, prefer AB blood type

Primary Objective: To determine feasibility of patients in the ICU receiving CP for

COVID-19-induced respiratory failure.

Primary Endpoint: To determine feasibility of providing CP to patients with COVID-19-

induced respiratory failure
1
Measured via initial anti-SARS-CoV-2 ELISA and serum neutralizing antibody titer to SARS-
CoV-2.

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Key Secondary Endpoint: To determine overall survival

Other Exploratory Outcomes:

1. Ventilatory free days and mechanical ventilatory parameters (e.g FiO2, PEEP,
plateau pressure, driving pressure)
2. ICU mortality and LOS
3. Hospital mortality and LOS
4. 28-day and 60-day mortality
5. Multi-organ failure (and other ICU support e.g., dialysis, vasopressors)
6. Number of patients developing TRALI based on CDD Hemovigilance Criteria
https://www.cdc.gov/nhsn/pdfs/biovigilance/bv-hv-protocol-current.pdf

Study population:

Inclusion Criteria

1. 18 years of age or older

2. Hospitalized with COVID-19 respiratory symptoms and confirmation via COVID-
19 SARS-CoV-2 RT-PCR testing.
3. Subject or proxy (including by phone) is willing and able to provide written or
virtual informed consent and comply with all protocol requirements.
4. Intubated
5. Consent to storage of specimens for future testing.

Exclusion Criteria

1. Contraindication to transfusion (severe volume overload, history of anaphylaxis to

blood products).
2. Severe multi-organ failure, hemodynamic instability.
3. Other documented uncontrolled infection.
4. Severe DIC needing factor replacement, FFP, cryoprecipitate.
5. On dialysis.
6. Active intracranial bleeding.
7. Clinically significant myocardial ischemia.

LIST OF ABBREVIATIONS
ADR: Adverse Drug Reaction
ADE: Antibody-mediated enhancement of infection
AE: Adverse Event/Adverse Experience
CDC: United States Centers for Disease Control and Prevention
CFR: Code of Federal Regulations
CLIA: Clinical Laboratory Improvement Amendment of 1988
COI: Conflict of Interest
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COVID-19: Coronavirus Disease
CRF: Case Report Form
DMC: Data Management Center
DSMB: Data and Safety Monitoring Board
EUA: Emergency Use Authorization
FDA: Food and Drug Administration
GCP: Good Clinical Practice
HBV: Hepatitis B virus
HCV: Hepatitis C virus
HIV: Human immunodeficiency virus
HTLV: Human T-cell lymphotropic virus
IB: Investigator’s Brochure
ICF: Informed Consent (Informed Consent Form)
ICH: International Conference on Harmonization
ICU: Intensive Care Unit
IEC: Independent ethics committee
IND: Investigational New Drug Application
IRB: Institutional review board
ISBT: International Society of Blood Transfusion
ISM: Independent Safety Monitor
IWRS: Interactive web response system
MERS: Middle East Respiratory Syndrome
NA: Nuclear antibody
NP: Nasopharyngeal
OP: Oropharyngeal
RT-PCR: Reverse Transcriptase Real-Time Polymerase chain reaction
PK: Pharmacokinetic
SAE: Serious adverse event
SARS: Severe Acute Respiratory Syndrome
SARS-CoV-2: Severe Acute Respiratory Syndrome Coronavirus 2
TACO: Transfusion-associated circulatory overload
T. cruzi: Trypanosoma cruzi
TRALI: Transfusion-related acute lung injury
UP: Unanticipated Problem
UPnonAE: Unanticipated Problem that is not an Adverse Event
ZIKV: Zika virus

1. Background and scientific rationale

Beyond supportive care, there are currently no proven therapeutic options for
pneumonia due to coronavirus disease (COVID-19), the infection caused by Severe
Acute Respiratory Syndrome Coronavirus 2 (SARS-CoV-2). Human convalescent
plasma is an option for treatment of COVID-19 and will be available when sufficient
numbers of people have recovered. Such persons should have high titer neutralizing
immunoglobulin-containing plasma.
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Passive antibody therapy involves the administration of antibodies against pathogens in
susceptible or infected individual for the purpose of preventing or treating disease due
to that agent. In contrast, active vaccination requires the induction of an immune
response that takes time to develop with responses that vary among recipient; some
immunocompromised patients fail to achieve an adequate immune response. Thus,
passive antibody administration is the only means of providing immediate immunity to
susceptible persons and immunity of any measurable kind for highly
immunocompromised patients.

Passive antibody therapy dates back to the 1890s. Prior to this, it was the only means of
treating many infectious diseases before the advent of antimicrobial therapy in the
1940s (1,2). Experience from prior outbreaks with other coronaviruses, such as SARS-
CoV-1 shows that convalescent plasma contains neutralizing antibodies to the virus
(3). In the case of SARS-CoV-2, the anticipated mechanism of action by which passive
antibody therapy would mediate protection is viral neutralization. However, other
mechanisms may be possible, such as antibody dependent cellular cytotoxicity and/or
phagocytosis. Convalescent serum was also used in the 2013 African Ebola epidemic.
A small non-randomized study in Sierra Leone revealed a significant increase in survival
among those treated with convalescent whole blood relative to those who received
standard treatment (4).

Currently, the only antibody type available for immediate use is found in human
convalescent plasma. As more individuals contract COVID-19 and recover, the number
of potential donors will continue to increase.

For passive antibody therapy to be effective, a sufficient amount of antibody must be

administered. When given to a COVID-19 susceptible person, this antibody will circulate
in the blood, reach tissues and mitigate infection severity. Depending on antibody
amount and composition, the protection conferred by transferred immunoglobulin can
last from weeks to months.

2. Experience with the use of convalescent plasma against coronavirus diseases

In the 21st century, there were two other epidemics with coronaviruses that were
associated with high mortality, SARS-CoV-1 in 2003 and Middle Eastern Respiratory
Syndrome (MERS) in 2012. In both outbreaks, the high mortality and absence of
effective therapies led to the use of convalescent plasma. The largest study involved the
treatment of 80 patients in Hong Kong with SARS-CoV-1 (7). Those who were RT-PCR
positive and seronegative for coronavirus at the time of therapy had improved
prognosis.

Reports highlighting the mechanism and limitations of convalescent plasma therapy

come from small case series. SARS plasma virus titers were reduced in three
Taiwanese survivors of SARS following treatment with 500 ml of convalescent plasma
(8). In South Korea, three patients with MERS were treated with convalescent plasma,
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but only two or the donors were shown to have produced neutralizing antibodies (9).
This second study highlights a challenge in using convalescent plasma, namely, that
some who recover from viral disease may not have high titers of neutralizing antibody
(10). Of note, analysis of convalescent sera from 99 MERS survivors showed that only
87 had neutralizing antibody with a geometric mean titer of 1:61. This suggests that
antibody declines with time and/or that few patients make high titer responses. The
plasma product we administer will be collected 14-21 days after symptom resolution
and antibody titers will be assessed. Otherwise the donor will fulfill all of the standard
donor criteria.

Importantly, there are reports that convalescent plasma was used for therapy of patients
with COVID-19 in China during the current outbreak
(http://www.xinhuanet.com/english/2020-02/28/c_138828177.htm). Although few details
are available from the Chinese experience and published studies involved small
numbers of patients, the available information suggests that convalescent plasma
administration reduces viral load and was safe. It is also possible that other types of
non-neutralizing antibodies are made that contribute to protection and recovery as
described for other viral diseases (11).

3. Potential risks
a. The theoretical risk involves the phenomenon of antibody-mediated
enhancement of infection (ADE). ADE can occur for several viral diseases and
involves an enhancement of disease in the presence of certain antibodies. For
coronaviruses, several mechanisms for ADE have been described and there is
the theoretical concern that antibodies to one type of coronavirus could enhance
infection to another viral strain (12). It may be possible to predict the risk of ADE
of SARS-CoV-2 experimentally, as was proposed for MERS. Since the proposed
use of convalescent plasma in the COVID-19 epidemic would rely on
preparations with high titers of neutralizing antibody against the same virus,
SARS2-CoV-2, ADE may be unlikely. Evidence from the use of convalescent
plasma in patients with SARS1 and MERS (13), and anecdotal evidence of its
use in patients with COVID-19
(http://www.xinhuanet.com/english/2020-02/28/c_138828177.htm), suggest it is
safe. Nevertheless, caution and vigilance will be required in for any evidence of
enhanced infection.

b. Another theoretical risk is that antibody administration to those exposed to

COVID-19 may avoid disease but modify the immune response such that those
individuals mount attenuated immune responses, which would leave them
vulnerable to subsequent re-infection. In this regard, passive antibody
administration before vaccination with respiratory syncytial virus was reported to
attenuate humoral but not cellular immunity (14). This concern could be
investigated as part of a clinical trial by measuring immune responses in those
exposed and treated with convalescent plasma to prevent disease. If the concern
proved real these individuals could be vaccinated against COVID-19 when a
vaccine becomes available. These concerns seem modest compared to the
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 possibility of limiting the duration and severity of disease, and avoiding
interventions like mechanical ventilation, ARDS and sepsis.

c. There are risks associated with any transfusion of plasma including transmission
of transfusion transmitted viruses (e.g. HIV, HBV, HCV, etc.), allergic transfusion
reactions, anaphylaxis to transfusion, febrile transfusion reaction. Donors will
fulfill donor requirements for whole blood donation and frequent apheresis
plasma donation with the exception of recent illness, in this case COVID-19
infection.

d. Transfusion related acute lung injury (TRALI): This study will administer up to 10
units of plasma (1-2 doses per day, every-other-day dosing for 5 doses) to
patients with ARDS, or at risk of progression to ARDS. These patients are at
increased risk of TRALI due to increased inflammatory state with high IL-6 and
IL-8 levels. TRALI is caused by anti-HLA or anti-neutrophil antibodies in donor
plasma. Therefore, to reduce the risk of TRALI, patients on the protocol will
receive CP from male donors, only (lower chance of anti-HLA antibodies), and
will preferentially use AB blood-type plasma.

e. Transfusion associated cardiac overload (TACO): occurs due to the osmotic load
of the plasma. Treating clinicians will carefully monitor volume status, weight
gain > 1kg/day, and urine output, and may withhold CP for patients with
unresolved TACO from prior transfusions. Judicious use of diuretics to mitigate
TACO is encouraged.

f. Hemolysis should ABO incompatible plasma be administered.

4. Potential benefits

Assessing the feasibility of a treatment protocol for established COVID-19 infection, a

now prevalent disease without other proven therapeutic options the key potential benefit
of this study. Convalescent plasma would be administered to those with clinical disease
in an effort to reduce their symptoms and mortality. The purpose of this feasibility study
is to assess whether CP administration late in disease course is safe. Future studies
and other companion protocols will address whether there is an optimal time to start CP
administration, and whether there is an optimal dose, donor, or neutralizing antibody
content.

Given that historical and current anecdotal data on use of convalescent plasma suggest
it is safe in coronavirus infection, the high mortality of COVID-19, particularly in elderly
and vulnerable persons, suggests that the benefits of its use in those at high risk for
death outweigh the risks. However, for all cases where convalescent plasma
administration is considered, a risk-benefit assessment must be conducted to assess
individual variables.

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5. Investigational plan

5.1 Study Objectives

Primary Objective: Determine feasibility of patients in the ICU receiving CP for COVID-
19-induced respiratory failure.

Key Secondary Endpoint: Survival

Other Exploratory Outcomes:

1. Ventilatory free days and mechanical ventilatory parameters (e.g FiO2, PEEP,
plateau pressure, driving pressure)
2. ICU mortality and LOS
3. Hospital mortality and LOS
4. 28-day and 60-day mortality
5. Multi-organ failure (and other ICU support e.g., dialysis, vasopressors)
6. Number of patients developing TRALI based on CDC Hemovigilance Criteria
https://www.cdc.gov/nhsn/pdfs/biovigilance/bv-hv-protocol-current.pdf

Other Exploratory Endpoints:

1. Cumulative incidence of serious adverse events during the study period: transfusion
reaction (fever, rash), transfusion related acute lung injury (TRALI), transfusion
associated circulatory overload (TACO), transfusion related infection
2. Tolerability of plasma transfusions in critically ill recipients
3. Anti-SARS-CoV-2 titers at days 0 and when available.
4. Rates and duration of SARS-CoV-2 PCR positivity (RT-PCR) at days 0 and if further
available.

5.2 Definitions

1. Enrolled: From time consented to participate until designated as a screen failure

or have either been discontinued from the study or completed it.
2. Screen Failures: signed informed consent, but then determined to be ineligible
3. Discontinued: withdrawn by investigator or withdraws consent
4. Completed: Subjects are considered to have completed the study when they are
followed through day 60 or death occurred prior to day 60.

5.3 Study population

Inclusion Criteria for Enrollment

1. Patients 18 years of age or older

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 2. Hospitalized and intubated in the ICU with COVID-19 respiratory symptoms and
confirmation via COVID-19 SARS-CoV-2 RT-PCR testing. Patient or proxy is
willing and able to provide written informed consent and comply with all protocol
requirements, or requirement for informed consent is WAIVED due to the inability
to communicate with the patient and unable to identify legally authorized
representative.
3. Consents to storage of specimens for future testing, or consent waived.

Exclusion Criteria

1. Contraindication to transfusion (severe volume overload, history of anaphylaxis

to blood products).
2. Severe multi-organ failure, hemodynamic instability.
3. Other documented uncontrolled infection.
4. Severe DIC needing factor replacement, FFP, cryoprecipitate.
5. On dialysis.
6. Active intracranial bleeding.
7. Clinically significant myocardial ischemia.

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Table: Schedule of Events
Study period Screen On Study Treatment
Day -14 to 0 2 4 6 8 14 28
0
Eligibility
Informed consent or WAIVER x
(includes proxy)
Demographic and Medical x x x x x x x
history; SOFA score
COVID-19 symptom screen x
SARS-CoV-2 RT-PCR for x
eligibility
Pregnancy test for females of x
childbearing age
ABO2 x
Study Drug Administration
Convalescent Plasma Infusion x x x x x
Study Procedures
Vital signs x x x x x x x x
Physical examination x x x x x x x
Concomitant medications x x x x x x x x
Adverse event monitoring x x x x x x x
Laboratory testing
CBC and CMP x x x x x x x
SARS-CoV-2 RT-PCR3 x
SARS-CoV-2 antibody x x x x x
Blood for future testing (excess x x x x x x x
sample available and stored)

5.4 Subject Withdrawal

1. Subjects can terminate study participation and/or withdraw consent at any

time without prejudice.
2. The investigator may withdraw subjects if they are lost to follow up, non-
compliant with study procedures or if the investigator determines that
continued participation in the study would be harmful to the subject or the
integrity of the study data
3. Discontinuation of the study: The study sponsor, FDA and IRB all have the
right to terminate this study at any time

2
At least 2 assessments of ABO type on file, with one in the 90 days prior to enrollment
3
Sites could include nasopharyngeal and throat
4
The assessments performed on day 28 will be repeated on days 60 and 90.
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 5.5 Treatment

1. Subjects will receive open-label screened plasma from COVID-19+

clinically resolved individuals (14 days post-resolution). Dosing of single or
double plasma units (weight based < or > 90Kg) will be administered on
days 0, 2, 4, 6, and 8, or until extubation or futility (if either occurs before
day 8) is determined by the ICU.
2. Doses can be omitted at the discretion of the treating clinician (e.g., TRALI
events are 100% donor-dependent and do not prohibit future transfusions).
3. Study drug: The investigational product is anti-SARS-CoV-2 convalescent
plasma obtained from MALE patients identified as having recovered from
COVID-19 with COVID-19+ antibody titers.
4. Male donors and samples will be screened for infections transmitted via
transfusion (e.g. HIV, HBV, HCV, WNV, HTLV-I/II, T.cruzi, ZIKV) both
through the use of the uniform donor questionnaire and FDA mandated
blood donor screening tests. Plasma will be collected using apheresis
technology or whole blood collection in accordance with standard FDA and
blood bank protocols.

6. Rationale for doses

For a 70 kg person, plasma volume is estimated at 2800 mL (40 mL/kg x 70 kg).

Baseline antibody titer may be present or absent.

Standard plasma dosing is 2 units, (~200-250 mL per unit) with detectable COVID-19
antibody titer. At the discretion of the treating physician, patients less than 90kg may
receive 1 unit of plasma for the first 1-2 doses and increase to 2 units per dose if
tolerated.

In practical terms this is 1-2 units of FFP per patient based on < or > 90kg.
Treating clinician can decide to give 1 unit if the patient is at high risk of
circulatory overload.

6.1 Study drug administration

 Infusion rate £ 500 mL/hour

 Pretreatment to minimize transfusion reactions (e.g. acetaminophen,
diphenhydramine) may be given per investigator and clinical care team
discretion.
 If an AE develops during infusion, the infusion may be slowed or stopped as
per investigator’s decision.
o Most reactions to plasma are relatively minor and the infusion can
generally be continued. Infusion site burning and non-allergic systemic
effects can generally be managed with slowing of the infusion. Infusion
can generally be continued in cases of itching or hives after pausing
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 the transfusion, administering antihistamines, and observing a lack of
symptom progression.
o Severe allergic reactions such as, bronchospasm and hypotension,
and may require discontinuation of the infusion.

6.2 Concomitant medication

s will be documented on the CRF
 Prescription medications
 Over the counter medications
 Herbal treatments/nutritional supplements
 Blood products

Prohibited Therapies: No off-label therapies are prohibited (patients may

receive concomitant tocilizumab, hydroxychloriquine, azithromycin, remdesivir,
Kaletra, statins, interferons, etc.) but patients are not permitted to enroll in more
than one clinical trial at the same time.

7. Statistical considerations

7.1 Statistical Analysis

Descriptive summaries of continuous and other numeric variables will at least

consist of the following summary statistics: median, minimum and maximum
values. We will analyze events including number of doses of CP administered,
survival, organ function. Categorical variables will be summarized by the
frequency and proportion of subjects falling into each category. Unless otherwise
indicated, percentages in tables will be column percentages, using the total
number of observations in the population (n=30). Percentages will be rounded to
one decimal place, and thus may not always add up to exactly 100%. Clinical
laboratory values will be first reported in using International System of Units (SI).
Exact confidence intervals for binomial proportions will be derived using the
Clopper-Pearson method.

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 7.2 Analysis of AE data

Analysis of AE data will primarily be descriptive based on MedDRA coding of

events. The proportion of subjects experiencing an SAE and the proportion
experiencing a Grade 3or higher.

The main AEs of interest relate to transfusion-associated toxicities, TRALI,

TACO and antibody-associated worsening of infection. We will attempt to
distinguish these entities using Consensus Criteria, but will also report respiratory
parameters, body weight, and relationship of AEs to CP infusion, so that post-hoc
assessment of AEs can be performed.

7.3 Analysis of anti-SARS-CoV-2 titers

Analysis of titers will also primarily be descriptive, comparing the geometric mean titers
at days 0 and when available from excess plasma from clinical specimens (that will be
stored). These assays are being developed by the CP Virology Subgroup in the trial
consortium (ELISA, neutralizing Ab assays).

8. Study Procedures

Day -1 to 0:
A. Screening
B. Subject informed consent (or proxy consent, including by phone)
C. Baseline Evaluation (at screening) (much of the information will be
obtained from the medical record)
1. Demographics (Age, sex ethnicity, race)
2. Medical history (timing of exposure to COVID-19 source patient,
onset of respiratory symptoms, acute and chronic medical
condition, medications, allergies. Any medical condition arising
after consent should be recorded as AE
3. COVID-19-induced respiratory failure for eligibility
4. Vital signs
5. COVID-19 testing (RT-PCR) from nasopharyngeal or other
sources if available (sputum, stool, bronchoalveolar lavage fluid).
6. Blood typing, CBC, comprehensive metabolic panel
7. Serological testing: anti-SARS CoV-2 titers
8. Stored samples for future studies
9. Urine or serum pregnancy test for females of childbearing
potential will be noted.
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DAY 0:
1. Enrollment of eligible subjects
2. Study Plasma Administration: 1-2 units of plasma (weight-based as above)
will be transfused. Time at start and end of infusion will be recorded and
Vital signs will be measured immediately prior to infusion, 10-20 minutes
after start of infusion, at completion of infusion and 30-60 minutes after the
end of the infusion
3. Assessment of clinical status, physical examination
4. New medical conditions, concomitant medication, AE evaluation
5. Blood typing, CBC, comprehensive metabolic panel
6. Serological baseline testing for anti-SARS CoV-2 titers
7. Stored samples for future studies (cytokines, etc)

Day 1-9 (or for duration of ICU stay)

1. Vital signs daily including SpO2
2. Daily Ventilatory requirements (FiO2, PEEP, respiratory rate)
3. Assessment of clinical status including new medical conditions, AE
evaluation for potential toxicities prior to subsequent every other day
dosing of CP (up to day 8) by the ICU attending physician in coordination
with the study team
4. Treating physician is permitted to withhold study treatment (skip a
scheduled infusion of CP) if he/she judges that the patient is at excessive
risk of TACO (TRALI is 100% donor-dependent), or if toxicity from the
previous dose has not resolved. The patient may remain on study and
receive subsequent doses if toxicities have resolved, weight is stable,
respiratory status is stable or improving, etc. We will record the number of
doses given and the reason for each skipped dose.
5. physical examination
6. CBC, comprehensive metabolic panel as clinically indicated
7. Serological testing anti-SARS CoV-2 titers when available from excess
plasma
8. Stored samples for future studies

Day 10-27:
Key parameters are 1) survival; 2) inpatient status versus outpatient status
(ICU or not); 3) persistent respiratory failure or extubation; 4) clinical data
such respiratory support (supplemental O2 or not); 5) if discharged, SNF,
nursing home, LTAC versus home recovered, back to work (fully, partially)

1. Respiratory status
2. Assessment of overall clinical status
3. New medical conditions, AE evaluation

Day 28 and 60:

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 1. Respiratory status
2. Assessment of overall clinical status
3. New medical conditions, AE evaluation

9. Efficacy, virology and PK measures

Clinical Efficacy
1. Survival (days)
2. Duration (days) of ventilatory support in ICU and mechanical ventilatory
requirements (FiO2, PEEP, rate, mode etc)
3. ICU mortality and LOS
4. Hospital mortality and LOS
5. 28-day and 60-day mortality
6. Multi-organ failure (and other ICU support e.g., dialysis, pressors)
7. Number of patients developing TRALI based on Consensus Definition

Virologic measures

1. Rates, levels and duration of SARS-CoV-2 RNA in NP swabs by RT-PCR at

days 0 and subsequent clinical testing. Other specimen types that may be
tested and available (eg., BAL fluid, tracheal secretions, sputum, etc.) or
when RT-PCR assays are validated for additional sources (i.e., stool, blood).
2. Serologic positivity and neutralization antibody titers for anti-SARS-CoV-2 at
days 0 when specimens available for post-treatment (additional days 28 and
60 may be included, if available).

10. Risks and benefits

Potential Benefits of treatment:

The potential benefits of antiviral treatment with anti-SARS CoV-2 plasma in
patients with respiratory failure, intubated due to pneumonia or ARDS. However,
it is anticipated that treatment may decrease disease severity and ICU stay.

Potential benefits of clinical monitoring and virologic testing:

Subjects enrolled in the study may reduce their chances of disease severity or
further progression.

Potential risks:
1. Risks of plasma: Fever, chills, rash, headache, serious allergic reactions, TRALI,
TACO, transmission of infectious agents
2. Risks of phlebotomy: local discomfort, bruising, hematoma, bleeding, fainting,
3. Total blood draws will not exceed 500 mL
4. Risks of oropharyngeal and throat swab: local discomfort, vomiting

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Alternatives:
The alternative to participation in this study is routine care.

11. Safety measures

1. Safety Evaluations will assess for the safety of high titer anti-SARS-CoV-2
plasma and determine if it is higher, lower or the same as standard plasma
2. Clinical evaluations: Vital signs and symptom screen on days 0-9, days 10-27
and days 28, 60.
3. Laboratory evaluations consistent with ongoing medical care may include
radiographic imaging modalities such as chest x-rays and chest CT.
4. Safety laboratory tests (ABO typing, pregnancy testing, CBC, and
comprehensive metabolic panel) will be performed at the local CLIA-certified
clinical laboratory on days 0, 2, 4, 6, 8, 14, 28 and as clinically indicated.

Event (AE)
Any untoward medical occurrence in a clinical investigation subject who has
received a study intervention and that does not necessarily have to have a
causal relationship with the study product. An AE can, therefore, be any
unfavorable and unintended sign (including an abnormal laboratory finding, for
example), symptom, or disease temporally associated with the use of the study
product, whether or not considered related to the study product.

Serious Adverse Event (SAE)

An SAE is any adverse event that results in any of the following outcomes:
1. Death
2. Rapid deterioration of respiratory or clinical status on transfusion of SARS-CoV-2
convalescent plasma (TRALI or TACO)
3. Anaphylaxis
4. Life-threatening (immediate risk of death)
5. Prolongation of existing hospitalization
6. Persistent or significant disability or incapacity
7. Important medical events that may not result in death, be life threatening, or
require intervention or escalation of care may be considered a serious adverse
event when, based upon appropriate medical judgment, they may jeopardize the
subject and may require medical or surgical intervention to prevent one of the
outcomes listed in this definition. Examples of such medical events include
allergic bronchospasm requiring intensive treatment in an emergency room or at
home, blood dyscrasias or convulsions that do not result in inpatient
hospitalization.

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Unexpected Adverse event: (UAE) An adverse reaction, the nature or severity of which
is not consistent with the investigator’s brochure.

Serious and Unexpected Suspected Adverse Reaction (SUSAR)

Unanticipated Problem (UP)

Unanticipated Problem that is not an Adverse Event (e.g. breaches of confidentiality,

accidental destruction of study records, or unaccounted-for study drug.
Protocol Deviation: Deviation from the IRB-approved study procedures. Designated
serious and non-serious
1. Serious Protocol Deviation: Protocol deviation that is also an SAE and/or
compromises the safety, welfare or rights of subjects or others
2. Safety Reporting Requirements

Reporting Interval

All AEs and SAEs will be documented from the first administration of study product until
completion or un-enrollment from the study. All AEs and SAEs will be followed until
resolution even if this extends beyond the study-reporting period. Resolution of an
adverse event is defined as the return to pre-treatment status or stabilization of the
condition with the expectation that it will remain chronic.

At any time after completion of the study, if the investigator becomes aware of a SAE
that is suspected to be related to study product

Investigator’s Assessment of Adverse Events

The determination of seriousness, severity, and causality will be made by an on-site

investigator who is qualified (licensed) to diagnose adverse event information, provide a
medical evaluation of adverse events, and classify adverse events based upon medical
judgment. This includes but is not limited to physicians, physician assistants, and nurse
practitioners.

Laboratory abnormalities will be reported as AEs if there is a 2 s.d. increase above

baseline.

Assessment of Seriousness
1. Event seriousness will be determined according to the protocol definition of an
SAE
2. Assessment of Severity

Event severity will be assigned according to the scale below

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 1 = Mild: Transient or mild discomfort (<48 hours); no medical
intervention/therapy required.)

2 = Moderate: Some worsening of symptoms but no or minimal medical

intervention/therapy required)

3 = Severe: Escalation of medical intervention/therapy required

4 = Life-threatening: Marked escalation of medical intervention/therapy

required.

5= Death

Assessment of Association

The association assessment categories that will be used for this study are:
 Associated – The event is temporally related to the administration of the study
product and no other etiology explains the event.
 Not Associated – The event is temporally independent of the study product
and/or the event appears to be explained by another etiology.

The investigator must provide an assessment of association or relationship of AEs to

the study product based on:
 Temporal relationship of the event to the administration of study product;
 Whether an alternative etiology has been identified;
 Biological plausibility;
 Existing therapy and/or concomitant medications.
12. Safety Oversight
Monitoring Plan
1. All AEs and SAEs will be reviewed by the protocol team in real time.
2. A medical monitor will be appointed by the sponsor for safety oversight of the
clinical study.
3. A data safety monitoring board (DSMB), will be established and comprised of
independent experts without conflict of interests will be established. The Board
will review the study before initiation and at least quarterly thereafter. The Board
will review study data to evaluate the safety, efficacy, study progress, and
conduct of the study

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 4. An Independent Safety Monitor (ISM) will be appointed. The ISM is ideally a
physician with expertise in infectious diseases and critical care (Henry Masur,
MD will be asked) and whose primary responsibility is to provide timely
independent safety monitoring. An ISM is in close proximity to the study site and
has the authority to readily access study participant records. The ISM reviews
any SAE that occurs at the study site in real time and provides a written
assessment.
Study monitoring
1. As per ICH-GCP 5.18 and FDA 21 CFR 312.50, clinical protocols are required to
be adequately monitored by the study sponsor. Monitors will verify that
a. There is documentation of the informed consent process, or proxy consent
(including phone) for each subject
b. There is compliance with recording requirements for data points
c. All SAEs are reported as required
d. Individual subjects’ study records and source documents align
e. Investigators are in compliance with the protocol.
f. Regulatory requirements as per Office for Human Research Protections-
OHRP), FDA, and applicable guidelines (ICH-GCP) are being followed.

Halting Criteria for the Study

The study enrollment and dosing will be stopped and an ad hoc review will be
performed if any of the specific following events occur or, if in the judgment of the study
physician, subject safety is at risk of being compromised:

1. Death within one hour of plasma infusion

2. Occurrence of a life-threatening allergic/hypersensitivity reaction (anaphylaxis),

manifested by bronchospasm with or without urticaria or angioedema requiring
hemodynamic support with pressor medications or mechanical ventilation.

3. An overall pattern of symptomatic, clinical, or laboratory events that the medical

monitor, ISM, or SMC consider associated with study product and that may
appear minor in terms of individual events but that collectively may represent a
serious potential concern for safety.

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 4. Any other event(s) which is considered to be a serious adverse event in the good
clinical judgment of the responsible physician. This will be appropriately
documented.

Upon completion of this review and receipt of the advice of the ISM or SMC, DMID will
determine if study entry or study dosing should be interrupted or if study entry and study
dosing may continue according to the protocol.

Halting Criteria/Rules for Subject Infusion

Infusion of convalescent plasma will be halted if any of the following manifestations of

anaphylaxis develop and will not be restarted:

 Skin or mucous membrane manifestations: hives, pruritus, flushing, swollen lips,

tongue or uvula
 Respiratory compromise: dyspnea, wheezing, stridor, hypoxemia
 A decrease in systolic blood pressure to < 90 mmHg or >30% decrease from
baseline or a diastolic drop of >30% from baseline.
 Tachycardia with an increase in resting heart rate to > 130bpm; or bradycardia <40
that is associated with dizziness, nausea or feeling faint.
 Any other symptom or sign which in the good clinical judgment of the study clinician
or supervising physician warrants halting the infusion. For example, the rapid onset
of gastrointestinal symptoms, such as nausea, vomiting, diarrhea, and cramps, for
instance, may be manifestations of anaphylaxis and may warrant an immediate halt
prior to meeting full SAE criteria

13. Ethics/Protection of human subjects

1. Ethical Standard

UPMC, Cedars Sinai and Johns Hopkins and all other potential participating institutions
are and will be committed to the integrity and quality of the clinical studies it coordinates
and implements. All sites will ensure that the legal and ethical obligations associated
with the conduct of clinical research involving human subjects are met. The information
provided in this section relates to all sites participating in this research study

As the Department of Health and Human Services continues to strengthen procedures

for human subjects’ protections via new regulations, all sites will review these evolving
standards in relation to the proposed activities and will advise the investigators on those
that may apply.

In addition, all sites have a Federal wide Assurance (FWA) number on file with the
Office for Human Research Protections (OHRP).

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This assurance commits a research facility to conduct all human subjects’ research in
accordance with the ethical principles in The Belmont Report and any other ethical
standards recognized by OHRP. Finally, per OHRP regulations, the research facility will
ensure that the mandatory renewal of this assurance occurs at the times specified in the
regulations.

2. Institutional Review Board

The UPMC, Cedars Sinai and Johns Hopkins IRBs will initially review this protocol and
all protocol-related documents and procedures as required by OHRP and local
requirements before subject enrollment. We will also pursue single IRB if possible, for
maximal efficiency.

3. Informed Consent Process

The informed consent process will be initiated before a volunteer agrees to participate in
the study and should continue throughout the individual’s study participation. The
subject will sign the informed consent document before any procedures are undertaken
for the study. A copy of the signed informed consent document will be given to the
subject for their records. The consent will explain that subjects may withdraw consent at
any time throughout the course of the trial. Extensive explanation and discussion of
risks and possible benefits of this investigation will be provided to the subjects in
understandable language. Adequate time will be provided to ensure that the subject has
time to consider and discuss participation in the protocol.
The consent will describe in detail the study interventions/products/procedures and
risks/benefits associated with participation in the study. The rights and welfare of the
subjects will be protected by emphasizing that their access to and the quality of medical
care will not be adversely affected if they decline to participate in this study.

4. Subject Confidentiality

Subject confidentiality is strictly held in trust by the participating investigators, their staff,
and the sponsors and their agents. No information concerning the study or the data will
be released to any unauthorized third party without prior written approval of the sponsor.
The results of the research study may be published, but subjects’ names or identifiers
will not be revealed. Records will remain confidential. To maintain confidentiality, the
PI will be responsible for keeping records in a locked area and results of tests coded to
prevent association with subjects’ names. Data entered into computerized files will be
accessible only by authorized personnel directly involved with the study and will be
coded. Subjects’ records will be available to the FDA, the NIH, the manufacturer of the
study product and their representatives, investigators at the site involved with the study,
and the IRB.

14. Future Use of Stored Specimens

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Subjects will be asked for consent to use their samples for future testing before the
sample is obtained. The confidentiality of the subject will be maintained. They will be no
plans to re-contact them for consent or to inform them of results. The risk of collection
of the sample will be the small risk of bruising or fainting associated with phlebotomy
however these samples will be taken at the same time as other protocol required
samples.
Excess blood samples will be collected and stored when feasible, including plasma,
serum and buffy coats, will be frozen in 1-ml aliquots. These samples will be used to
answer questions that may arise while the study is underway or after it is completed,
and may be shared with other investigators with expertise in virology, immunology,
genetics and other disciplines. If for instance, there were unanticipated AEs, serum
could be used to run tests that might help determine the reason for the AEs. Cytokines
could be measured, for example.

15. Data management and monitoring

a. Source Documents

The primary source documents for this study will be the subjects’ medical records. If the
investigators maintain separate research records, both the medical record and the
research records will be considered the source documents for the purposes of auditing
the study. The investigator will retain a copy of source documents. The investigator will
permit monitoring and auditing of these data, and will allow the sponsor, IRB and
regulatory authorities access to the original source documents. The investigator is
responsible for ensuring that the data collected are complete, accurate, and recorded in
a timely manner. Source documentation (the point of initial recording of information)
should support the data collected and entered in to the study database and must be
signed and dated by the person recording and/or reviewing the data. All data submitted
should be reviewed by the site investigator and signed as required with written or
electronic signature, as appropriate. Data entered into the study database will be
collected directly from subjects during study visits or will be abstracted from subjects’
medical records. The subjects’ medical records must record their participation in the
clinical trial and what medications (with doses and frequency) or other medical
interventions or treatments were administered, as well as any AEs experienced during
the trial.

Data Management Plan

Study data will be collected at the study site(s) and entered into the study database.
Data entry is to be completed on an ongoing basis during the study.

b. Data Capture Methods

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Clinical data will be entered into a database which includes password protection and
internal quality checks to identify data that appear inconsistent, incomplete, or
inaccurate.

c. Study Record Retention

The PI is responsible for retaining all essential documents listed in the ICH GCP
Guidelines. The FDA requires study records to be retained for up to 2 years after
marketing approval or disapproval (21 CFR 312.62), or until at least 2 years have
elapsed since the formal discontinuation of clinical development of the investigational
agent for a specific indication. These records are also to be maintained in compliance
with IRB/IEC, state, and federal medical records retention requirements, whichever is
longest. All stored records are to be kept confidential to the extent provided by federal,
state, and local law. It is the site investigator’s responsibility to retain copies of source
documents until receipt of written notification to the sponsor.

No study document should be destroyed without prior written agreement between the
sponsor and the Principal Investigator. Should the investigator wish to assign the study
records to another party and/or move them to another location, the site investigator
must provide written notification of such intent to sponsor with the name of the person
who will accept responsibility for the transferred records and/or their new location. The
sponsor must be notified in writing and written permission must be received by the site
prior to destruction or relocation of research records.

References

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therapies in infectious diseases. Clinical infectious diseases. 1995;21(1):150–161.

2. Casadevall A, Dadachova E, Pirofski L. Passive antibody therapy for infectious

diseases. Nature Reviews Microbiology. 2004;2(9):695–703.

3. Zhang J-S, Chen J-T, Liu Y-X, Zhang Z-S, Gao H, Liu Y, et al. A serological survey
on neutralizing antibody titer of SARS convalescent sera. Journal of medical
virology. 2005;77(2):147–150.

4. Sahr F, Ansumana R, Massaquoi T, Idriss B, Sesay F, Lamin J, et al. Evaluation of

convalescent whole blood for treating Ebola Virus Disease in Freetown, Sierra
Leone. Journal of Infection. 2017;74(3):302–309.

5. Casadevall A, Pirofski L. Antibody-mediated regulation of cellular immunity and the

inflammatory response. TRENDS in Immunology. 2003;24(9):474–478.

6. Casadevall A, Scharff MD. Serum therapy revisited: animal models of infection and
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7. Cheng Y, Wong R, Soo Y, Wong W, Lee C, Ng M, et al. Use of convalescent
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8. Yeh K-M, Chiueh T-S, Siu L, Lin J-C, Chan PK, Peng M-Y, et al. Experience of
using convalescent plasma for severe acute respiratory syndrome among
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9. Ko J-H, Seok H, Cho SY, Ha YE, Baek JY, Kim SH, et al. Challenges of
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10. Arabi YM, Hajeer AH, Luke T, Raviprakash K, Balkhy H, Johani S, et al. Feasibility
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11. Van Erp EA, Luytjes W, Ferwerda G, Van Kasteren PB. Fc-Mediated Antibody
Effector Functions During Respiratory Syncytial Virus Infection and Disease.
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12. Wan Y, Shang J, Sun S, Tai W, Chen J, Geng Q, et al. Molecular mechanism for
antibody-dependent enhancement of coronavirus entry. Journal of Virology.
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13. Mair-Jenkins J, Saavedra-Campos M, Baillie JK, Cleary P, Khaw F-M, Lim WS, et
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diseases. 2015;211(1):80–90.

14. Crowe JE, Firestone C-Y, Murphy BR. Passively acquired antibodies suppress
humoral but not cell-mediated immunity in mice immunized with live attenuated
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