Genetic Causes and Modifiers of Autism Spectrum Disorder
Genetic Causes and Modifiers of Autism Spectrum Disorder
Genetic Causes and Modifiers of Autism Spectrum Disorder
Disorder
Lauren E. Rylaarsdam1, Alicia Guemez Gamboa1*
1
Northwestern University, United States
Submitted to Journal:
Frontiers in Cellular Neuroscience
Specialty Section:
Cellular Neuropathology
ISSN:
1662-5102
Article type:
Review Article
Received on:
l
07 May 2019
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Accepted on:
n
06 Aug 2019
sio
Provisional PDF published on:
06 Aug 2019
P r o Citation:
Rylaarsdam LE and Guemez_gamboa A(2019) Genetic Causes and Modifiers in Autism Spectrum
Disorder. Front. Cell. Neurosci. 13:385. doi:10.3389/fncel.2019.00385
Copyright statement:
© 2019 Rylaarsdam and Guemez_gamboa. This is an open-access article distributed under the terms
of the Creative Commons Attribution License (CC BY). The use, distribution and reproduction in other
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This Provisional PDF corresponds to the article as it appeared upon acceptance, after peer-review. Fully formatted PDF
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5 * Correspondence:
6 Alicia Guemez-Gamboa
7 [email protected]
10 Abstract
11 Autism Spectrum Disorder (ASD) is one of the most prevalent neurodevelopmental disorders,
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12 affecting an estimated 1 in 59 children. ASD is highly genetically heterogeneous and may be caused
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13 by both inheritable and de novo gene variations. In the past decade, hundreds of genes have been
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14 identified that contribute to the serious deficits in communication, social cognition, and behavior that
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patients often experience. However, these only account for 10-20% of ASD cases, and patients with
similar pathogenic variants may be diagnosed on very different levels of the spectrum. In this review,
we will describe the genetic landscape of ASD and discuss how genetic modifiers such as copy number
variation, single nucleotide polymorphisms, and epigenetic alterations likely play a key role in
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modulating the phenotypic spectrum of ASD patients. We also consider how genetic modifiers can
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alter convergent signaling pathways and lead to impaired neural circuitry formation. Lastly, we review
sex-linked modifiers and clinical implications. Further understanding of these mechanisms is crucial
for both comprehending ASD and for developing novel therapies.
1 Introduction
24 Autism was first described by Leo Kanner in a study published in 1943, in which he provides a
25 detailed report of 11 children with similar unusual tendencies.(Kanner, 1943) Intriguing common
26 symptoms such as improper facilitation of language, indifference to other people, and obsessive
27 interests can clearly be discerned while reading Kanner’s thorough patient history. Twenty-three years
28 later, the first epidemiological study of autism estimated prevalence to be 4.5 per 10,000 individuals.
29 Estimates have since increased drastically to 1 in 59 individuals affected, with at least three times as
30 many males diagnosed as females.(Loomes et al., 2017) This significant increase in prevalence is
31 partially attributable to both increase in awareness and evolvement of Diagnostic and Statistical
32 Manual of Mental Disorders (DSM) criteria, from a childhood form of schizophrenia in 1952, to a core
33 diagnosis covering a spectrum of disorders in the present.(Zeldovich, 2018) The changing landscape
34 of factors required for diagnosis makes it difficult to quantify the actual increase in prevalence.
35 According to the current DSM-5 criteria, only two core features make up an ASD diagnosis: 1)
36 persistent deficits in social communication and social interaction across multiple contexts; and 2)
37 restricted, repetitive patterns of behavior, interests, or activities. (Lai et al., 2014) Because of the broad
38 nature of these definitions, an ASD diagnosis often co-occurs with other conditions. Motor
39 abnormalities (79%), gastrointestinal problems (up to 70%), epilepsy (up to 30%), intellectual
Genetic Modifiers in ASD
40 disability (45%), and sleep disorders (50-80%) are common examples.(Lai et al., 2014) Language
41 disorders are frequently co-occurring and were even included in the DSM-IV criteria.
42 Since autism’s identification as a diagnosis, the medical and scientific community have put
43 immense effort into determining the risk factors and etiology. In Kanner’s original assessment, he
44 makes the unfortunate observation that in addition to patients having highly intelligent parents, “One
45 other fact stands out prominently. In the whole group, there are very few really warm-hearted fathers
46 and mothers.”(Kanner, 1943) Thankfully, this “Refrigerator Mother” theory of autism was quickly
47 disproved. ASD is now understood to be a disease of complex interaction between genetics and the
48 environment, with heritability estimates ranging from 40-80%.(Chaste and Leboyer, 2012) Extensive
49 genetic studies have revealed hundreds of genes linked to autism. Epidemiological investigations have
50 begun to elucidate which environmental factors might be contributing to risk, but there is a lot left to
51 understand about how they interact with genetic predisposition to contribute to ASD etiology.
52 As is often the case with complex diseases, individuals with similar pathogenic variants may
53 have drastically varying phenotypes. For example, people with duplications of proximal 15q range
54 from unaffected to severely disabled.(Bolton et al., 2001; Cook et al., 1997) Genetic modifiers - factors
55 that modulate the expression of other genes - likely exist when individuals with the same pathogenic
56 variant present on opposite ends of the spectrum. In this review, we will discuss what is presently
57 known about the genetic landscape of ASD, then look at potential modifiers including copy number
58 variation (CNV), double-hit mutations, epigenetic influences, and sex-linked effects.
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60 2 Genetics of ASD
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61 2.1 Identification of candidate ASD risk genes
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Following the classification of autism by Kanner, research efforts were undertaken to determine
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the disease etiology. Though it was initially assumed to be of environmental origin, an improved
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understanding of the role of genetics in human health soon suggested otherwise. In 1977, Folstein and
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Rutter conducted twin studies upon the observation that incidence among siblings was 50x higher than
average.(Folstein and Rutter, 1977) They found that monozygotic twins were more likely to share a
diagnosis than dizygotic twins, suggesting a genetic influence. Bailey and coworkers supported this
finding, documenting 60% concordance for monozygotic twins versus no concordant dizygotic pairs.
(Bailey et al., 1995) In addition, risk of a child having ASD was found to be proportional to the
percentage of the genome they shared with an affected sibling or parent.(Constantino et al., 2010; Risch
et al., 2014; Sandin et al., 2014) By the turn of the century, ASD was established to have some genetic
72 component, though which genes were involved remained a mystery.
73 Early karyotype studies documenting chromosomal abnormalities began to shed light on which
74 regions of the genome were involved.(Gillberg and Wahlström, 1985) Additional susceptibility loci
75 screens implicated regions on chromosome 7q, 1p, 3q, 16p, and 15q.(Auranen et al., 2002; Barrett et
76 al., 1999; Buxbaum et al., 2001; IMGSAC, 1998; International Molecular Genetic Study of Autism
77 Consortium (IMGSAC), 2001; Lamb et al., 2002; Liu et al., 2001; Risch et al., 2014; Shao et al., 2003)
78 However, to investigate at gene-level resolution, early studies had to use the candidate approach.
79 Hypothesized targets included genes from suspected chromosomal regions that played a critical role in
80 neurodevelopment, such as homeobox (Hox) family or Wnt genes. Unsurprisingly, many early studies
81 using this method were largely inconclusive.(Krebs et al., 2002; Lamb et al., 2002; Talebizadeh et al.,
82 2002; Zhang et al., 2002) Starting in 2001, the candidate approach experienced moderate success with
83 findings supporting reelin (RELN), aristaless related homeobox (Arx), methyl-CpG binding protein 2
84 (MeCP2), neuroligin 3 (NLGN3), neuroligin 4 (NLGN4), tuberous sclerosis complex 2 (TSC2), and
85 ubiquitin protein ligase E3A (UBE3A)’s involvement in ASD etiology (Carney et al., 2003; Jamain et
86 al., 2003; Jiang et al., 2004; Persico et al., 2001; Serajee et al., 2003; Strømme et al., 2002)
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Genetic Modifiers in ASD
87 In the early 2000s, the advent of high throughput sequencing revolutionized genetic research and
88 enabled investigators to study ASD on a genome-wide level. Sequencing technology quickly confirmed
89 that the etiology of ASD was multigenic and highly heterogeneous, with very few of the same
90 pathogenic variants present in a significant percentage of afflicted individuals. It is now known that
91 the average case is a product of many susceptibility-increasing variations. Only a handful of ASD-
92 related diseases have monogenic causes, such as Rett syndrome, fragile X syndrome, tuberous
93 sclerosis, and Schuurs-Hoeijmakers syndrome. (Artuso et al., 2011; Stern et al., 2017; Woodbury-
94 Smith and Scherer, 2018) Dozens of large-scale genetic studies have since been conducted on ASD
95 patients and their families, leading to hundreds of risk genes being identified. While these proteins
96 have diverse functions, a majority of reproducible hits come from two broad classes of proteins: those
97 involved in synapse formation, and those involved in transcriptional regulation and chromatin-
98 remodeling pathways.(De Rubeis et al., 2014)
99 Synapse-related risk genes include those encoding cell-adhesion proteins such as neuroligins,
100 neurexins, and cadherins; synaptic vesicle cycling proteins synapsin-1 (SYN1) and synapsin-2
101 (SYN2); ion transport proteins such as sodium voltage-gated channel alpha subunit 2 (SCN2A),
102 calcium voltage-gated channel subunit alpha1 E (CACNA1E), calcium voltage-gated channel auxiliary
103 subunit beta 2 (CACNB2), potassium voltage-gated channel subfamily Q members 3 and 5 (KCNQ3
104 and KCNQ5), potassium voltage-gated channel subfamily D member 2 (KCND2), glutamate receptor
105 signaling protein SH3 and multiple ankyrin repeat domains 3 (SHANK3), synaptic Ras GTPase
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activating protein 1 (SYNGAP1), and gamma-aminobutyric acid type A receptor gamma3 subunit
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(GABRG3).(Durand et al., 2012; Giovedí et al., 2014; Jamain et al., 2003; Schmunk and Gargus, 2013;
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Stessman et al., 2017) In vivo data supports the implication of synapse pathology and abnormal neural
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109 network formation in ASD.
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110 Additional susceptibility loci impact transcription of other proteins through various mechanisms.
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For example, multiple studies have found an increased de novo mutation load in regulatory elements
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of ASD risk genes in patients.(Short et al., 2018; Turner et al., 2016, 2017) The broad class of
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susceptibility genes that impacts transcription and chromatin-remodeling pathways includes MeCP2,
UBE3A, chromodomain helicase DNA binding protein 8 (CHD8), activity dependent neuroprotector
homeobox (ADNP), pogo transposable element derived with ZNF domain (POGZ), fragile X mental
retardation protein (FMRP), and RNA binding forkhead box (RBFOX) genes. (Carney et al., 2003, 2;
De Rubeis et al., 2014; Samaco et al., 2005; Stessman et al., 2017; Tran et al., 2019) These pathogenic
118 variants have the potential to induce extremely widespread effects. For example, Tran and coworkers
119 recently showed that FMRP and fragile X related protein 1 (FXRP1) mutations can result in abnormal
120 RNA-editing enzyme activity, resulting in a global bias for adenosine-to-inosine hypoediting in ASD
121 brains.(Tran et al., 2019) Diverse phenotypes that may result are further discussed in the epigenetics
122 section.
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124 2.1.1 Somatic mosaicism and ASD risk
125 Disease-causing variations were conventionally thought to be familial/inherited and present in
126 every cell in the body. However, the role of somatic mosaicism, which is the result of a post-zygotic
127 DNA mutation, is increasingly being recognized as crucial to various neurodevelopmental diseases
128 including autism.(D’Gama and Walsh, 2018; Poduri et al., 2013; Ronemus et al., 2014) During
129 neurogenesis, each progenitor gives rise to roughly five single nucleotide variants (SNV) per day as
130 the brain rapidly develops.(Bae et al., 2018; D’Gama and Walsh, 2018) Studies estimate that of de
131 novo pathogenic variations, roughly 5-7% are postzygotic, though estimates of up to 22% have been
132 reported.(Acuna-Hidalgo et al., 2015; Freed and Pevsner, 2016; Krupp et al., 2017; Lim et al., 2017)
133 Most mutations are harmless, but variations in exons can be extremely detrimental. Pathogenic somatic
134 variations have been connected to ASD, Rett syndrome, tuberous sclerosis, intellectual disability,
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Genetic Modifiers in ASD
135 schizophrenia, and many other disorders.(Acuna-Hidalgo et al., 2015; Bourdon et al., 2001; Clayton-
136 Smith et al., 2000; D’Gama and Walsh, 2018; Dou et al., 2017; Doyle et al., 2017; Freed and Pevsner,
137 2016; Gilissen et al., 2014; Krupp et al., 2017; Qin et al., 2010; Tyburczy et al., 2015)
138 Until recently, our understanding of somatic mosaicism in ASD was restricted primarily to case
139 reports.(Castermans et al., 2008; Havlovicova et al., 2007; Kakinuma et al., 2008; Oliveira et al., 2003;
140 Papanikolaou et al., 2006; Sauter et al., 2003; Vorstman et al., 2011; Yurov et al., 2007) Several recent
141 investigations of whole exome-sequencing (WES) data from large cohorts have been instrumental in
142 shaping our understanding of the role of somatic mosaicism, which is currently estimated to account
143 for roughly 3-5% of simplex ASD cases.(Freed and Pevsner, 2016; Krupp et al., 2017) Lim and
144 coworkers used WES analysis of 5,947 ASD-affected families and determined that somatic variations
145 in autistic individuals were more likely to be in critical exons than variations in control siblings.(Lim
146 et al., 2017) Interestingly, they found that the pathogenic variants had enhanced expression in the
147 amygdala, an area critical for emotional response and social awareness.(Rasia-Filho et al., 2000) In
148 another large WES study, new risk genes identified were enriched in the cerebellum, which suggests
149 potential coordination difficulty that could be related to gait disorders common in autistic
150 children.(Dou et al., 2017) Freed and colleagues analyzed 2,388 families and identified an
151 ascertainment bias for pathogenic mosaic variations in ASD individuals relative to unaffected
152 siblings.(Freed and Pevsner, 2016) These large-scale sequencing studies of post-zygotic mutations
153 have both confirmed previously implicated candidate genes, such as SCN2A, in addition to revealing
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etiology.(Lim et al., 2017)
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dozens of new risk genes and establishing somatic mosaicism as a significant factor in ASD
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157 2.1.2 CNVs contribute to ASD susceptibility
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Copy number variations (CNVs) are submicroscopic structural variants in chromosomes that
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include duplications, deletions, translocations, and inversions, sometimes stretching several
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kilobases.(Marshall et al., 2008) CNV can either be inherited or arise de novo.(Thapar and Cooper,
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2013) Many genes may be affected with these changes, but not all are necessarily drivers of disease.
Studies have found a higher load of rare, genic CNVs in autistic individuals, implicating these variants
in ASD pathology.(Pinto et al., 2010; Pizzo et al., 2019; Sebat et al., 2007) CNV is now understood as
an extremely important contributing factor in ASD susceptibility, and current estimates postulate that
these variations directly cause roughly 10% of ASD cases.(Geschwind, 2011)
Studies of how individual CNVs contribute to ASD have been done for more frequent structural
variants, such as 16p11.2 duplications. The majority of the 25 genes in this region are highly active
168 during nervous system development and are critical for proper formation.(Blaker-Lee et al., 2012)
169 While the alteration of many genes involved in development suggests a mechanism for the diverse
170 symptoms observed in ASD, Golzio and coworkers reported that only one gene in the 16p11.2 region,
171 potassium channel tetramerization domain containing 13 (KCTD13), seems to be the major driver for
172 neuropsychiatric disease.(Golzio et al., 2012) Duplications or deletions of this gene are thought to
173 affect synaptic transmission through altered regulation of Ras homolog family member A
174 (RHOA).(Escamilla et al., 2017) However, Escamilla and colleagues also hypothesized that KCTD13
175 deletions alone are not likely to be sufficient for disease. Mouse models suggest another gene in the
176 16p11.2 region as a driver of disease - mitogen-activated protein kinase 3 (MAP3) - with deletions
177 resulting in altered cortical cytoarchitecture and reduced brain size.(Pucilowska et al., 2015). Likely,
178 the real driver of disease in 16p11.2 duplications or deletions is not from just one gene, but an
179 interaction of all 25 contributing to susceptibility. Iyer and coworkers systematically investigated
180 interaction between genes in the 16p11.2 region, using RNAi in Drosophila to test 565 pairwise
181 knockdowns. In addition to 24 modifying interactions discovered between pairs of genes within the
182 16p11.2 region, they also found 46 interactions between 16p11.2 genes and others involved in
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Genetic Modifiers in ASD
183 neurodevelopment.(Iyer et al., 2018) This strongly suggests that modifying interactions within CNVs
184 result in the complex phenotypes observed and may not be elucidated from studies with single genes,
185 a phenomenon that is likely true for other CNV regions in addition to 16p11.2.
186 The disease mechanisms of other CNVs are less frequently studied due to the paucity of
187 commonly affected regions. Even the most prevalent ASD-associated CNVs, such as 15q11-13 as well
188 as 16p11.2, are only present in roughly 1% of autism cases.(Kumar et al., 2008; Marshall et al., 2008;
189 Marshall and Scherer, 2012; Weiss et al., 2008) In addition, there are no known CNVs with complete
190 penetrance; studies that find CNVs with significant correlation to ASD often detect non-ASD carriers,
191 or ASD siblings without the variant.(Marshall et al., 2008) One useful approach in the midst of this
192 heterogeneity is to assess common functional networks affected. Repeatedly, studies have shown that
193 autistic individuals have deletions in synaptic genes, such as SHANK3, dipeptidyl peptidase-like 10
194 (DPP10), neuroligins, and neurexins.(Glessner et al., 2009; Marshall et al., 2008; Marshall and
195 Scherer, 2012; Pinto et al., 2010, 2014; The Autism Genome Project Consortium et al., 2007) Other
196 common functional gene sets with rare CNVs include those involved in cell proliferation and
197 development, chromatin regulation, and ubiquitin pathways.(Glessner et al., 2009; Pinto et al., 2010,
198 2014)
199 With certain CNVs, copy number dosage appears to affect disease phenotype. For example,
200 Horev and colleagues observed a dose-dependent effect and change in brain structure in mice with
201 16p11.2 deletions and duplications, but this effect is not as established in humans.(Horev et al., 2011;
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Kumar et al., 2008) Another study investigating CNV in the locus containing the UBE3A gene also
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report a positive correlation between duplication and autistic traits in mice, as well as decreased
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glutamatergic synaptic transmission.(Smith et al., 2011) In humans, Stefansson and colleagues
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205 analyzed a 15q11.2 CNV region of autistic individuals and found two brain areas with dose-dependent
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206 structural and functional effects. Interestingly, some non-ASD/schizophrenic controls who were
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diagnosed with dyslexia and dystaxia also exhibited the same structural changes.(Stefansson et al.,
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2014) In another study with humans, Girirajan and coworkers reported a dose-dependent effect from
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their microarray analysis with identified CNVs in ASD-associated genes, finding a positive correlation
between duplication size increase and autism severity increase, but no correlation between duplication
size and nonverbal IQ.(Girirajan et al., 2013) CNV are often critical and complex contributors to ASD
risk, but patients with similar structural variants may have highly variable phenotypes. Following
sections will discuss how non-causative modifiers play an important role in modulating CNV
214 pathogenicity.
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216 2.1.3 Epigenetic regulation and ASD
217 Genes with epigenetic-modulating functions are highly involved in ASD susceptibility. A recent
218 review of 215 candidate genes estimated that 19.5% are epigenetic regulators, suggesting the potential
219 for diverse disease phenotypes from few pathogenic variants.(Duffney et al., 2018) Another study
220 suggested that risk genes with high penetrance were typically located in the nucleus and involved in
221 modulation of expression, or tied to the protein-protein interaction network essential in guiding CNS
222 developmental patterning.(Casanova et al., 2016) Twin studies particularly demonstrate the profound
223 ways epigenetics can modulate disease phenotype; for example, a study of 50 pairs of monozygotic
224 twins discordant for ASD reported numerous autism-associated differentially methylated regions, with
225 methylation patterns at some CpG sites common to symptom groups.(Wong et al., 2014)
226 Though the scientific and medical community still has a great deal to learn about epigenetic
227 modulation of ASD, patterns have emerged from large-scale epigenomic studies. Susceptibility loci
228 often include genes involved in methylation such as KMT2C, lysine methyltransferase 5B (KMT5B),
229 and lysine demethylase 6B (KDM6B); chromatin remodeling proteins including MeCP2, CHD8, and
230 POGZ; RNA-binding/splicing proteins such as FMRP and the RBFOX family, post-translational
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Genetic Modifiers in ASD
231 modification proteins like UBE3A, mindbomb E3 ubiquitin protein ligase 1 (MIB1); or transcription
232 factors like ADNP and additional sex combs like 3 (ASXL3).(De Rubeis et al., 2014) Targets of these
233 proteins can range from few to hundreds, and often include pathways previously implicated in autism,
234 such as synaptic formation. To demonstrate how mutations in a single epigenetic regulator can modify
235 many other risk genes, we will look more in depth at two key susceptibility genes: MeCP2 and UBE3A.
236 MeCP2 is a chromatin modifier that is consistently implicated in ASD. In a healthy individual,
237 the binding action of MeCP2 has been shown to regulate many genes with synaptic function, such as
238 GABRB3, brain derived neurotrophic factor (BDNF), distal-less homeobox 5 (DLX5), insulin like
239 growth factor binding protein 3 (IGFBP3), cyclin dependent kinase like 1 (CDKL1), protocadherin
240 beta 1 (PCDHB1), protocadherin 7 (PCDH7), and lin-7 homolog A (LIN7A).(Kubota and Mochizuki,
241 2016; Samaco et al., 2005) It also serves post-translational functions.(Cheng and Qiu, 2014) In
242 addition, MeCP2 is the rate-limiting factor in regulating glutamatergic synapse formation during
243 development, which implicates its involvement in yet another important aspect of ASD
244 pathology.(Chao et al., 2007) MeCP2 is shown to be reduced in the frontal cortex of ASD individuals
245 due to increased methylation of its promoter.(Nagarajan et al., 2006, 2008; Samaco et al., 2005)
246 UBE3A, an E3 ubiquitin protein ligase, is a second important epigenetic regulator strongly
247 implicated in ASD pathology. It is modulated by MeCP2, but can be causative on its own.(Samaco et
248 al., 2005, 2) UBE3A lies in the chromosomal region 15q11-13, which is commonly duplicated in
249 autism. Dose-dependent effects have been positively correlated with reduced excitatory synaptic
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transmission, delay of first word, and psychomotor regression.(Guffanti et al., 2011; Smith et al., 2011;
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Xu et al., 2018) The mechanism of UBE3A’s pathological activity can be hypothesized based on its
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function as a ubiquitin ligase, which targets proteins for degradation, but research is still revealing
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253 exactly how these dose-dependent impairments occur. Lee and coworkers identified four proteosome-
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254 related proteins that were direct substrates of UBE3A.(Lee et al., 2014) Overexpression of UBE3A and
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one of its substrates, proteasome 26S subunit, non-ATPase 4 (Rpn10), led to increased accumulation
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of ubiquitinated proteins, suggesting a proteostatic imbalance. Proteosome health has been strongly
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implicated in dendritic spine outgrowth, linking UBE3A with one of the key pathologies observed in
autism.(Hamilton et al., 2012; Puram et al., 2013) Its involvement in Wnt signaling could also cause
significant perturbation during development.(Yi et al., 2017) MeCP2 and UBE3A are just two examples
of how one altered gene can have extremely far-reaching effects.
Large-scale epigenetic studies have also helped achieve a broader picture of epigenetic mis-
262 regulation in ASD. Sun and coworkers conducted a histone acetylome-wide association study on 257
263 post-mortem prefrontal and temporal cortex samples. Surprisingly, they found that >68% of both
264 syndromic and idiopathic cases shared a common acetylome signature at roughly 5,000 enhancer
265 regions.(Sun et al., 2016) Intriguingly, a SHANK3 mouse model of autism displayed rescued
266 behavioral phenotypes when treated with a potent histone deacetylase inhibitor, reinforcing the role of
267 epigenetics in ASD.(Qin et al., 2018) Ladd-Acosta and coworkers measured over 485,000 CpG loci in
268 post-mortem brain tissue from 40 individuals and identified four differentially methylated regions.
269 Three sites were found in cortical tissue: the proline rich transmembrane protein 1 (PRRT1) 3′ UTR,
270 promoter regions of tetraspanin 32 (TSPAN32), and C11orf21. The last site, an alternative promoter
271 for succinate dehydrogenase complex flavoprotein subunit A pseudogene 3 (SDHAP3), was found in
272 cerebellar tissue.(Ladd-Acosta et al., 2014) Affected pathways implied in these studies and others
273 include synaptic transmission, immune function, ion transport, and GABAergic genes.(Andrews et al.,
274 2017; Nardone and Elliott, 2016; Sun et al., 2016; Zhubi et al., 2017)
275 Mor and colleagues took a different approach, using small RNA sequencing data and correlating
276 results to genome-wide DNA methylation data to find dysregulated miRNAs. miRNAs that were found
277 to be significantly expressed in the ASD brain were linked to synaptic function, consistent with data
278 from numerous other studies.(Mor et al., 2015) They also discovered a link to the oxytocin receptor
279 (OXTR) gene, suggesting attenuated OXTR expression in the autistic brain. This finding was supported
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Genetic Modifiers in ASD
280 by a study that found fetal membranes from preterm birth had hypermethylated OXTR, potentially
281 linking an environmental risk factor to a pathological mechanism.(Behnia et al., 2015) Another risk
282 gene with epigenetic functions is engrailed homeobox 2 (EN2), a homeobox gene with an unusual
283 methylation pattern in ASD that has been hypothesized to cause abnormal cerebellar Purkinje
284 growth.(James et al., 2013) The list of ASD risk genes with epigenetic functions is vast, suggesting a
285 mechanism by which few mutations can result in widespread misregulation of gene expression.
286 Because of this, genes with epigenetic functions and their substrates may be promising targets of
287 therapies. For example, mutations in FMRP, a chromatin remodeler, result in widespread gene
288 expression abnormalities, but a recent study found that inhibition of FMRP target bromodomain
289 containing 4 (BRD4) alleviated many of the disease characteristics.(Korb et al., 2017) Proteins with
290 epigenetic-regulating function may also be key targets of disease modifiers, a concept that will be
291 discussed later in this review.
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297 schizophrenia, bipolar disorder, ADHD, and major depressive disorder.(Cross-Disorder Group of the
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Psychiatric Genomics Consortium, 2013; Cross-Disorder Group of the Psychiatric Genomics
Consortium et al., 2013) In addition to establishing varying degrees of pair-wise crossover, they found
loci that reached genome-wide significance for all five disorders near the following genes: inter-alpha-
trypsin inhibitor heavy chain 3 (ITIH3), arsenite methyltransferase (AS3MT), calcium voltage-gated
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channel subunit alpha1 C (CACNA1C), and CACNB2. Glessner and coworkers have also conducted a
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large-scale meta-analysis of structural variants across the same diseases and correlated structural
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variants in the loci of dedicator of cytokinesis 8 (DOCK8) and KN motif and ankyrin repeat domains
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1 (KANK1) with all five conditions.(Glessner et al., 2017) Schork and colleagues recently
hypothesized that abnormal gene regulation in radial glia and interneurons during mid-gestation is a
mechanism of shared risk, after using GWAS to identify susceptibility loci in genes including
phosphodiesterase 1A (PDE1A), protein phosphatase 1 regulatory inhibitor subunit 1C (PPP1R1C),
RHOA, immunoglobulin superfamily member 11 (IGSF11), and sortilin related VPS10 domain
containing receptor 3 (SORC3).(Schork et al., 2019)
Studies also report shared susceptibility genes across a more restricted set of psychiatric diseases.
312 For example, ASD, intellectual disability (ID), and schizophrenia have been found to share risk loci in
313 FMRP targets, CHD5, CHD8, SCN2A, and neurexin 1 (NRXN1).(Iossifov et al., 2014; Wang et al.,
314 2019) Wang and coworkers also found commonalities across ASD, ID, and bipolar disorder with
315 increased incidence of de novo pathogenic variants in periodic circadian regulator 1 (PER1) and lysine
316 methyltransferase 2C (KMT2C). Khanzada and colleagues found 23 susceptibility genes common to
317 ASD, bipolar disorder, and schizophrenia including dopamine receptor D2 (DRD2), cholinergic
318 receptor nicotinic alpha 7 subunit (CHRNA7), 5-hydroxytryptamine receptor 2A (HTR2A), solute
319 carrier family 6 member 3 (SLC6A3), and tryptophan hydroxylase 2 (TPH2). Hit genes were primarily
320 involved in dopamine and serotonin homeostasis, suggesting a potential mechanism for abnormal
321 emotional regulation observed across all three disorders.(Khanzada et al., 2017) The immense
322 crossover revealed in these studies intriguingly suggests some level of shared etiology across
323 psychiatric conditions, despite having clinically distinct presentations.
324 Of the four other diseases assessed in the PGC study, the most highly correlated disease to ASD
325 was schizophrenia.(Cross-Disorder Group of the Psychiatric Genomics Consortium et al., 2013)
326 Previous epidemiological studies had suggested their linkage, reporting increased risk of ASD in
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Genetic Modifiers in ASD
327 children with schizophrenic parents and significant co-morbidity of child-onset schizophrenia and
328 autism.(Rapoport et al., 2009; Sullivan et al., 2012) A follow-up report to the 2013 PGC study
329 estimated genetic correlation between the two diseases to be 23%, with shared risk loci including
330 several genes involved in neurodevelopment, such as forkhead box P1 (FOXP1), exostosin
331 glycosyltransferase 1 (EXT1), astrotactin 2 (ASTN2), mono-ADP ribosylase 2 (MACROD2), and
332 histone deacetylase 4 (HDAC4).(The Autism Spectrum Disorders Working Group of The Psychiatric
333 Genomics Consortium, 2017) In addition to susceptibility genes involved in neurodevelopment, other
334 studies also reported shared susceptibility in genes affecting chromatin remodeling, oxidative stress
335 response, and lipid metabolism.(Lim et al., 2017; McCarthy et al., 2014).
336 Many studies have also found a significant correlation between autistic and ADHD scored traits.
337 This includes a study of autistic symptoms in ADHD probands and siblings, autistic trait correlation in
338 an ADHD twin sample, and an association between autistic and ADHD traits in the general population.
339 (Mulligan et al., 2009; Reiersen et al., 2007; Ronald et al., 2008; Stergiakouli et al., 2017) Nijmeijer
340 and coworkers identified five specific genetic loci that were associated with ASD traits in children with
341 ADHD: 7q36, 16p13, 18p11, 15q24, and 12q24.(Nijmeijer et al., 2010) A study investigating the
342 overlap of pathological structural variants in ADHD and ASD found significant overlap in genes
343 related to a wide variety of processes, including the nicotinic receptor signaling pathway and cell
344 division.(Martin et al., 2014) The shared heritability of ASD and ADHD is still being explored, and is
345 further discussed in a review by Rommelse and coworkers.(Rommelse et al., 2010)
346
347
348
l
Since ASD is a multigenic and highly heterogeneous disease that often co-occurs with other
a
conditions, it can be difficult to distinguish which genes truly have overlapping risk for multiple
o n
psychiatric conditions, and which variations are responsible for the common disease phenotypes. For
si
349 example, the ubiquitin ligase gene UBE3A is implicated in both autism and Angelman Syndrome, a
i
350 condition distinct from ASD but with similar symptoms, such as movement and speech defects.
351
352
353
354
355
356
357 P v
Interestingly, Angelman Syndrome is generally associated with UBE3A deletions, while ASD can be
o
caused by duplications - yet the same individual can be diagnosed with both syndromes.(Kalsner and
r
Chamberlain, 2015; Peters et al., 2004; Smith et al., 2011; Williams et al., 2010; Yi et al., 2015)
Another example is intellectual disability, which co-occurs with autism in roughly 45% of cases.(Lai
et al., 2014) Multiple studies have found that ASD and intellectual disability share risk loci,(McCarthy
et al., 2014; Pinto et al., 2010) but overlapping phenotypes are a potentially confounding factor.
Similarly, other risk genes for ASD are epigenetic regulators whose effectors are associated with
358 different diseases.(Michaelson et al., 2017; Pinto et al., 2010; Samaco et al., 2005, 2) The interaction
359 and overlap between psychiatric disorders is complex, and much is left to discern regarding shared
360 disease mechanisms.
8
Genetic Modifiers in ASD
373 modify the ASD phenotype are challenging to undertake, as few autistic individuals have the same
374 pathogenic variants. In addition, there is not yet a complete understanding of which CNVs and SNPs
375 are pathogenic in ASD.
376 One way to circumvent these issues is to investigate an autism subtype with a monogenic cause,
377 such as Rett Syndrome. Artuso and coworkers used this strategy and identified 15 “likely” and 14
378 “unlikely” modulators of the RTT phenotype based on array comparative genome hybridization with
379 eight RTT subjects.(Artuso et al., 2011) Another valuable approach is to assess monozygotic twins
380 with a discordant phenotype. Several studies have assessed potential differences in CNVs or epigenetic
381 regulation in discordant monozygotic twins, revealing potential methylation pattern differences in one
382 case and anomalies in the 2p25.3 region in another.(Kunio et al., 2013; Rio et al., 2013) However, a
383 study involving 100 twin pairs failed to find differences in CNVs that could explain the discordant
384 phenotypes.(Stamouli et al., 2018) The authors still acknowledge postzygotic mosaicism as a potential
385 modifier and encourage more studies to help develop a clearer understanding of CNV modulating
386 activity.
387 A handful of reports also exist of putative modifying CNVs in polygenic ASD cases with
388 unrelated subjects. For example, Girirajan and coworkers found that children with two CNVs not
389 known to be pathological were eight times more likely to be diagnosed with developmental delay than
390 controls.(Girirajan et al., 2012) In the same year, a study of SHANK2 pathogenic variants found
391 abnormalities in both individuals with neuropsychiatric disease and controls, suggesting the presence
392
393
394
l
of additional variants in order to cause disease. Three of the patients with de novo SHANK2 mutations
a
were also found to have deletions of CHRNA7 and cytoplasmic FMR1 interacting protein 1 (CYFIP1)
o n
- both previously implicated in ASD - supporting a “multiple-hit” model of autism.(Leblond et al.,
si
395 2012) CHRNA7 was also suggested as a potential modifier in an earlier study by Szafranski and
i
396 coworkers.(Szafranski et al., 2010) Barber and colleagues provided further support for a multiple-loci
397
398
399
400
401
402
403 P v
model of ASD upon finding that patients with 16p12.1 duplications had a more severe phenotype when
o
a second large CNV was present.(Barber et al., 2013) Included in these hypothesized modifier regions
r
were genes G protein regulated inducer of neurite outgrowth 2 (GPRIN2) - previously implicated as a
modifier in the study by Artuso and coworkers - and steroid sulfatase (STS), which was formerly
thought to be non-causative.(Artuso et al., 2011; Li et al., 2010) More recently, an analysis of 20,226
patient records revealed 19 patients with CNVs in contactin 6 (CNTN6), a gene hypothesized to be
involved in neurodevelopmental disorders including ASD.(Repnikova et al., 2019) The authors were
404 not able to find any significant genotype-phenotype relationships and concluded that CNV in CNTN6
405 were likely benign or modifying, but not causative of disease.
406 In addition to CNVs, there may be thousands of smaller pathogenic variants - such as SNPs and
407 indels - that also modulate severity. For example, in a study of developmental delay, individuals that
408 only carried a specific 16p12.1 microdeletion had a less severe phenotype than individuals with random
409 second variants.(Girirajan et al., 2010) One study of individuals with 22q11.2 deletion syndrome - all
410 haploinsufficient for an mGluR network gene - found that 20% who were co-diagnosed with autism
411 had second-hit pathogenic variants, while only 2% of 22q11DS individuals without autism had second
412 hits.(Wenger et al., 2016) Bonnet-Brilhault and coworkers assessed a family affected with ID and ASD
413 due to NLGN4X pathogenic variants and found that individuals with ASD - but not ID or controls - had
414 second-hit variants in glycine receptor beta (GRLB) and ankyrin 3 (ANK3). (Bonnet-Brilhault et al.,
415 2016) Additional evidence may exist, but GWAS and WES studies have tended to focus on causative
416 susceptibility loci. Therefore, other variants which are not causative by themselves are not often
417 emphasized or even reported. The emerging study of all types of genetic modifiers is a relatively recent
418 development, and continuing advancements in sequencing technology, analyzing software, and
419 expansion of databases should lay the framework for significant advancements in the near future.
9
Genetic Modifiers in ASD
a
neurogenesis by upregulating Wnt1 expression and activating the GSK-3β/β-catenin pathway, leading
o n
to macrocephaly.(Go et al., 2012) Another study found that valproic acid increased BDNF by two
si
443 transcriptional mechanisms involving MeCP2 and tissue plasminogen activator (tPA). This increase in
i
444 BDNF is proposed to alter neurite outgrowth, impairing synapse formation.(Ko et al., 2018) Finally,
445
446
447
448
449
450
451 P v
Koloszi and coworkers observed a downregulation of NLGN3 - a highly implicated autism risk gene
o
involved in synapse formation - in both hippocampal and somatosensory cortex of valproate-exposed
r
mice.(Kolozsi et al., 2009) Examples of other proposed environmentally-modulated mechanisms of
ASD risk exist, but the literature supporting valproic acid is an excellent example of the heterogeneous
effects one environmental factor can induce. Further research is strongly needed to determine how the
environment modulates ASD risk.
Clearly, epigenetics can have a profound impact on the transcriptome of an organism. Pathogenic
452 variants in even one epigenetic-regulating gene or effects from the environment can cause widespread
453 gene dysregulation. Epigenetic modulators can themselves be causative of disease, but they may also
454 exacerbate or ameliorate the disease phenotype by influencing expression of risk genes. More genome-
455 wide studies are needed to understand the common ASD epigenome, and whether certain epigenetic
456 markings might be protective or detrimental to individuals who are genetically susceptible. In addition,
457 more studies are needed to decipher epigenetics as a link between environmental risk factors and
458 genetic susceptibility. There is a small possibility that certain environmental factors could have
459 protective epigenetic effects, providing potential avenues for therapy.
10
Genetic Modifiers in ASD
468 factors. The genetically heterogeneous nature of ASD makes it likely that all these elements are
469 involved – sex bias varies drastically based on factors such as which CNVs are causative or which
470 comorbidities are present, suggesting diverse means by which a sex bias may occur.(Polyak et. al.,
471 2015; Amiet et al., 2008) Potential mechanisms of sex-specific modulation will be discussed briefly,
472 although more thorough reviews are available elsewhere.(Ferri et al., 2018)
473 Multiple studies argue that the female sex is protective towards ASD susceptibility.(Pinto et al.,
474 2014; Robinson et al., 2013) For example, the average mutational burden in diagnosed females is much
475 higher than in males, suggesting that males have a lower mutational burden threshold.(Desachy et al.,
476 2015; Jacquemont et al., 2014) Another study by Robinson and coworkers investigated nearly 10,000
477 dizygotic autistic twin pairs and found that siblings of female probands had significantly worse
478 symptoms than siblings of male probands.(Robinson et al., 2013) Many investigations have also found
479 that unaffected mothers may carry the same mutation as their affected male children. One particularly
480 well-documented example for this is the 15q11-13 duplication.(Boyar et al., 2001; Cook et al., 1997;
481 Gurrieri et al., 1999; Schroer et al., 1998) This region codes for GABAA receptors, which is supported
482 by the observation of perturbed GABA signaling in ASD.(Al-Otaish et al., 2018) The discovery that
483 estrogens rescue ASD phenotypes in both zebrafish and mouse models of autism is an especially
484 convincing piece of evidence for the female protective theory.(Hoffman et al., 2016; Macrì et al., 2010)
485 It is also possible that the female sex is not protective, but males are particularly vulnerable. Three
486 studies of gene expression patterns noted males generally had a higher expression of genes implicated
487
488
489
l
in ASD, such as chromatin regulators and genes related to immune involvement.(Shi et al., 2016;
a
Werling et al., 2016; Ziats and Rennert, 2013) A study with rat models of ASD reported male-specific
o n
downregulation of MeCP2 leading to abnormal glutamate activity, providing another potential
si
490 mechanism for male-specific vulnerability.(Kim et al., 2016, 2) Interestingly, multiple studies have
i
491 found decreased levels of aromatase - an enzyme that catalyzes the conversion of testosterone to
492
493
494
495
496
497
498 P v
estradiol - in the brains of adolescent ASD individuals.(Crider et al., 2014; Sarachana et al., 2011)
o
Decreased aromatase has also been associated with decreased RAR-related orphan receptor A (RORA),
r
an ASD-associated gene that is oppositely regulated by male and female hormones.(Nguyen et al.,
2010; Sarachana et al., 2011) Hu and colleagues found a much stronger correlation between RORA
expression and that of its targets in the cortex of male mice relative to female mice, suggesting that
RORA-deficient males may have greater dysregulation of genes than females.(Hu et al., 2015)
Of course, there may also be a combination of female-specific protective and male-specific
499 deleterious effects. For example, Jung and colleagues recently assessed sexually dimorphic traits in a
500 CHD8+/N2373K mouse model of autism.(Jung et al., 2018) While male mice demonstrated abnormal
501 social behaviors such as isolation-induced self-grooming, female behavior was similar to controls.
502 Neuronal excitability was also enhanced in males and suppressed in females. Transcriptomes were
503 distinct, with female mice revealing an enrichment for ECM molecules, likely providing a protective
504 effect.
505 A likely mechanism of divergent modulation is from differential effects of sex hormones, which
506 have been hypothesized to play an important role in ASD pathology for both males and females.(Baron-
507 Cohen et al., 2005, 2015; Ferri et al., 2018; Honk et al., 2011; Whitehouse et al., 2010) For example,
508 testosterone and estrogen have been shown to have contrasting effects on the immune system (Lenz et
509 al., 2013; Roved et al., 2017), which has been repeatedly shown to play a pathological role in
510 ASD.(Estes and McAllister, 2015; Kim et al., 2017; Koyama and Ikegaya, 2015; McCarthy and Wright,
511 2017; Nadeem et al., 2019) Schwarz and colleagues analyzed biomarkers from individuals with
512 Asperger’s syndrome and found 24 male-specific and 17 female-specific hits, including many immune-
513 related molecules.(Schwarz et al., 2011) Spine density, another phenotype strongly implicated in
514 autism (Comery et al., 1997; Durand et al., 2012; Hutsler and Zhang, 2010; Irwin et al., 2001; Liu et
515 al., 2017; Soltani et al., 2017; Takuma et al., 2014; Tang et al., 2014), is also affected by
516 testosterone.(Hatanaka et al., 2015) Key molecules involved in neurotransmission such as GABA,
11
Genetic Modifiers in ASD
517 glutamate, serotonin, and BDNF are all implicated in ASD and modulated by sex hormones.(Al-Otaish
518 et al., 2018; Edwards et al., 2018; Ferri et al., 2018; Garbarino et al., 2018; Kim et al., 2016, 2;
519 Saghazadeh and Rezaei, 2017; Zieminska et al., 2018) It is not yet clear whether the majority of
520 differences between male and female presentation of ASD arise from differential regulatory actions of
521 sex hormones or from other modifiers, but the presence of a sexually dimorphic phenotype is well
522 established. Future research will likely elucidate a clearer picture of the identity and mechanisms of
523 sex-specific modifiers.
525 When autism was first described, it was hypothesized to be an environmentally-caused disease.
526 Decades of research have since revealed that autism is a highly heterogeneous and extremely complex
527 genetic condition. Even though great progress had been made in identifying hundreds of implicated
528 genes conferring risk, very little is known about the different types of modifiers that may exacerbate
529 or ameliorate disease severity. Such modifiers could include epigenetics, sex-linked modifiers, CNVs,
530 double-hit mutations, or environmental factors (see Figure 1).
531 It may take many more decades of research before the scientific community has an accurate
532 picture of how these modulators contribute to the etiology of ASD. However, this understanding is
533 critical for the development of effective therapies. Due to the extremely diverse genetic phenotype of
l
534 patients, personalized medicine may be a future avenue for maximally effective treatment. A
535
536
537
a
condensed series of genetic tests - such as a microarray with identified risk loci - could be an expedient
n
and cost-effective solution to determining genetic etiology. Alternatively, therapies may be developed
sio
to address convergent disease phenotypes that encompass multiple genetic etiologies, such as neuronal
i
538 hyperexcitability and abnormal synaptic function. Autism research has come astonishingly far in just
v
539 a half a century. There is much more work to be done, but continued investigation will eventually lead
o
540 to a cohesive understanding of the interplay between causative genetic factors and disease modifiers in
541
542
543
544
5
5.1 P r
the etiology of ASD.
Figure Legends
Figure 1
Genetic modifiers in autism spectrum disorder. Autism is estimated to be 40%-80% heritable.
545 However, both genetic and non-genetic factors modulate the penetrance of risk genes, resulting in a
546 highly heterogeneous disease phenotype for similar pathogenic variants. Examples of genetic
547 modulators include CNV, epigenetics, and double-hit mutations. Examples of non-genetic modifiers
548 include environmental exposures and sex-linked modifiers.
549 6 References
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1202 The authors declare that the research was conducted in the absence of any commercial or financial
1203 relationships that could be construed as a potential conflict of interest.
1205 L.R. contributed by writing the main text and gathering all references. A.G.-G. contributed by editing
1206 manuscript drafts and providing insight into structure and material that should be included.
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