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The Journal of Neuroscience, April 1, 2001, 21(7):2442-2450
Behavioral and Anatomical Correlates of Chronic Episodic Hypoxia
during Sleep in the Rat
David
Gozal1,
Jill M.
Daniel2, and
Gary P.
Dohanich2
1 Kosair Children's Hospital Research Institute,
Departments of Pediatrics, Pharmacology, and Toxicology, University of
Louisville School of Medicine, Louisville, Kentucky 40202, and
2 Department of Psychology, Tulane University, New Orleans,
Louisiana 70118
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ABSTRACT |
The role played by chronic episodic hypoxia (EHYP) in the
neurocognitive morbidity of obstructive sleep apnea (OSA) is unknown. Sleep recordings, Morris water maze experiments, and
immunohistochemistry for NMDA NR1 glutamate receptor, c-fos protein,
and apoptosis [nuclear immunoreactivity for single-stranded DNA
and terminal deoxynucleotidyl transferase-mediated biotinylated UTP
nick end labeling assay] were conducted in EHYP-exposed Sprague Dawley male rats. Exposures consisted of up to14 d in an environmental chamber
in which O2 concentrations were cycled between 10 and 21%
every 90 sec or 30 min during 12 hr of daylight. For the remaining 12 hr, EHYP rats breathed room air, while controls spent 14 d in room
air. Although EHYP induced significant disruption of sleep architecture
during the initial day of exposure, sleep patterns normalized
thereafter. Marked increases in apoptosis occurred in the CA1
hippocampal region (sevenfold) and cortex (Cx; eightfold) after 1-2 d
of EHYP but not in CA3 and were followed by decreases toward normoxic
levels by 14 d. Double labeling for NMDA NR1 and c-fos revealed
marked architectural disorganization in CA1 and Cx with increases in
c-fos over time. Rats exposed to EHYP displayed significantly longer
escape latencies and swim path lengths to escape a hidden platform
during 12 training trials given over 2 d. Differences in the
performances of EHYP and control rats, although reduced, persisted
after 14 d of recovery. We conclude that EHYP is associated with
marked cellular changes over time within neural regions associated with
cognitive functions. Furthermore, EHYP impaired performance during
acquisition of a cognitive spatial task without affecting sensorimotor
function. Such changes may underlie components of the learning and
memory impairments found in OSA.
Key words:
sleep; apoptosis; intermittent hypoxia; immediate early
genes; glutamate receptors; obstructive sleep apnea; cognitive
impairment; memory; water maze
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INTRODUCTION |
The clinical syndrome of obstructive
sleep apnea (OSA), a condition characterized by repeated episodes of
upper airway obstruction during sleep, affects ~5% of the general
population (Partinen and Telakivi, 1992 ; Redline et al., 1994 ; National
Heart, Lung, Blood Institute Working Group on Sleep Apnea, 1996 ). The
intermittent upper airway obstruction during sleep leads to episodic
hypoxia, which may be severe with nadir hemoglobin oxygen saturations
frequently reaching 50-60%. In addition, periodic alveolar
hypoventilation and repeated arousal either behavioral or
electroencephalographic occur leading to sleep fragmentation and deprivation.
The major neurocognitive manifestations of OSA include excessive
daytime sleepiness (Roehrs et al., 1995 ), personality and psychosocial
maladjustment patterns, and mental impairment in terms of thinking,
perception, memory, communication, or the ability to learn new
information (Kales et al., 1985 ; Gozal, 1998 ). The relative
contributions of sleep fragmentation and deprivation and those of
episodic hypoxemia to the neurocognitive deficits exhibited by OSA
patients are unclear and cannot be elucidated in humans for obvious
ethical reasons (Berry et al., 1986 ; Bedard et al., 1991 ; Morisson et
al., 1998 ). The available correlational studies of physiological
disturbances during sleep and cognitive deficits in humans further
suggest that reductions in general intellectual measures and executive
and psychomotor tasks are primarily attributable to the severity of
hypoxemia, whereas other attention and memory deficits seem to be
related to the impaired vigilance induced by sleep deprivation and
fragmentation (Bedard et al., 1991 ). However, the latter may not be the
only factor associated with excessive daytime sleepiness, because the
ability to maintain wakefulness was markedly disturbed in 322 OSA
patients and was inversely correlated to the degree of both sleep
fragmentation and nighttime hypoxemia (Poceta et al., 1992 ).
In the present study, we aimed to develop an animal model in which the
neurobehavioral effects of episodic hypoxia could be assessed in the
absence of significant sleep fragmentation. We hereby demonstrate that
exposure to episodic hypoxia during the usual resting period of young
adult rats elicits both substantial region-selective neuronal loss and
functional deterioration in the absence of sleep deprivation.
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MATERIALS AND METHODS |
Young adult Sprague Dawley rats (45-50 d of age) were used for
all experiments. The experimental protocols were approved by the
Institutional Animal Use and Care Committee and are in close agreement
with the National Institutes of Health guide for the care and use of
laboratory animals. All efforts were made to minimize animal suffering,
to reduce the number of animals used, and to use alternatives to
in vivo techniques.
Episodic hypoxia. Animals sojourned for 1 d
(n = 8), 2 d (n = 8), 7 d
(n = 8), and 14 d (n = 32) in four
identical commercially designed chambers (30 × 20 × 20 inches; Oxycycler model A44XO; Reming Bioinstruments, Redfield, NY)
that can accommodate six rats each; the chambers were operated under a
12 hr light/dark cycle (6:00 A.M.-6:00 P.M.). Gas was circulated
around each of the chambers, attached tubing, and other units at 60 l/min (i.e., one complete change per 10 sec). The
O2 concentration was continuously measured by an
O2 analyzer and was changed throughout the 12 hr of light time by a computerized system controlling the gas valve outlets, such that the moment-to-moment desired oxygen concentration of
the chamber was programmed and adjusted automatically. Deviations from
the desired concentration were corrected by addition of
N2 or O2 through solenoid
valves. For the remaining 12 hr of nighttime, oxygen concentrations
were kept at 21%. Ambient CO2 in the chamber was
periodically monitored and maintained at <0.01% by adjusting overall
chamber basal ventilation. The gas was also circulated through a
molecular sieve (type 3A; Scientific Instrument Services, Ringoes,
NJ) to remove ammonia. Humidity was measured and maintained at
40-50% by circulating the gas through a freezer and silica gel.
Ambient temperature was kept at 22-24°C.
Two episodic hypoxia (EHYP) profiles were used and consisted of
alternating room air and 10% oxygen either every 90 sec or every 30 min during the light phase. Because findings were nearly identical
after both EHYP profiles, results were merged for presentation purposes. Time point-matched control animals were exposed for 1 d
(n = 8), 2 d (n = 8), 7 d
(n = 8), and 14 d (n = 27) to
circulating normoxic gas in one of the four chambers.
Surgical and sleep-recording procedures. Under general
anesthesia (pentobarbital, 50 mg/kg, i.p.), six animals were implanted with cortical EEG and nuchal electromyographic (EMG) electrodes as
described by Krueger et al. (1993) . Briefly, EEG electrodes were
placed over the frontal and parietal cortices, and insulated leads from
the EEG and EMG electrodes were pulled under the skin to a Teflon base
(Plastics One, Roanoke, VA) and cemented to the skull with dental
cement (Hygienic Repair Resin, Akron, OH). A 1 week recovery period was
allowed by placing the animals in individual cages within the
intermittent hypoxia exposure chambers, after which experimental
recordings were initiated. Analog signals from the EEG and EMG
electrodes were displayed on a screen, digitized in 10 sec epochs, and
stored onto a Macintosh Personal Computer System at a 125 Hz sampling
frequency using MacLab Digital Acquisition Software (AD Instruments,
Castle Hill, Australia). EMG activity served as an aid for determining
the vigilance states and was not further analyzed. The EEG was filtered
below 0.1 Hz and above 40 Hz. Vigilance states corresponding to
wakefulness, rapid eye movement sleep (REMS), and non-REMS (NREMS) were
determined in the 10 sec epochs using previously validated criteria
(Timo-Iaria et al., 1970 ; Franken et al., 1991 ; Frank and Heller, 1997 )
as follows: NREMS, high-amplitude EEG slow waves and low-level EMG activity; REMS, highly regular activity in the EEG and a general lack of body movements with occasional twitches; and wakefulness, low-amplitude, fast EEG activity and high EMG activity. Time spent in
each vigilance state was calculated for 2 hr intervals. Group averages
were calculated hourly and also for the entire dark and light periods.
Measurement of blood gas values. Arterial blood samples were
obtained from an implanted arterial catheter in four additional rats.
After withdrawal of 75-100 µl of blood in the dead space of the
catheter, another 150 µl was sampled for immediate analysis of
pO2, pCO2, and pH with a
blood gas analyzer (model 178; Ciba Corning). Measurements were
performed during normoxia and at the end of the 90 sec hypoxic cycle.
Morris water maze. The Morris water maze consisted of a
circular pool, 1.8 m in diameter and 0.6 m in height, filled
to a level of 35 cm with water maintained at a temperature of 27°C (Morris, 1981 , 1984 , 1989 ; Morris et al., 1986 ). Pool water was made opaque by addition of 150 ml of nontoxic white tempera paint. A
Plexiglas escape platform (12 cm in diameter) was positioned 2 cm below
the water surface. Extramaze cues surrounding the maze were fixed at
specific locations and were visible to the rats while in the maze. Maze
performance was recorded by a video camera suspended above the maze and
interfaced with a video tracking system (HVS Imaging, Hampton, UK).
Albino rats used in the experiments were temporarily tattooed with a
black mark to allow video tracking.
Place learning was assessed on eight place-training trials on the first
training day and four place-training trials on the second training day.
Each male was placed into the pool from quasirandom start points and
allowed a maximum of 90 sec to escape to the platform where he remained
for 15 sec. Rats that failed to escape were led to the platform. The
position of the platform remained constant across trials. Trials were
separated by 120 sec. Performance was assessed by two measures, mean
escape latencies and swim path distances. After the final
place-training trial on the second training day, the platform was
removed for a 60 sec probe trial. Time spent in each of the four
quadrants of the pool and the number of target crossings over the
previous location of the platform were recorded. After the probe trial,
visual discrimination was assessed on two cued trials. Each male was
placed into the pool from quasirandom start points and allowed a
maximum of 90 sec to escape to a platform marked by a small flag.
Performance was assessed by two measures, mean escape latencies and
swim path distances. To test the recovery from EHYP, animals were
retested in the water maze with the hidden platform moved to a
different quadrant 14 d after the termination of intermittent
hypoxia exposures. Place learning was assessed on eight training
trials. Two separate sets of animals were evaluated at different times
under the same paradigm. The only difference between the two
replications of the experiment was a change from a black pool to a
white pool.
Immunohistochemistry. Rats were anesthetized with
pentobarbital (50 mg/kg, i.p.) and perfused transcardially with 200 ml
of PBS at an ambient temperature and then with 2.5% paraformaldehyde in cold PBS containing 5% sucrose, pH 7.4. The brain was removed immediately from the skull after perfusion and placed overnight in a
fixative containing 1% paraformaldehyde in PBS and 30% sucrose at
4°C. Coronal sections (40 µm) were cut on a freezing microtome and
divided into two series. One series was stained for Nissl substance
with thionine, and the other was processed immunohistochemically. Sections were washed extensively in PBS and incubated in 0.4% Triton X-100 in PBS containing 1.5% normal goat serum (Vector Laboratories, Burlingame, CA) for 1 hr. Sections were then serially incubated with anti-c-fos (Santa Cruz Biotechnology, Santa Cruz, CA;
catalog #sc-52; 1:10,000 dilution) and with an antibody to the
NR1 NMDA glutamate receptor subunit raised against a synthetic peptide
LQNQKDTVLPRRAIEREEGQLQLCSRHRE corresponding to the C terminal of the
rat NMDA receptor subunit (Chemicon, Temecula, CA; catalog #AB1516;
1:2500) (Petralia et al., 1994 ), as described previously (Gozal
et al., 1999 ). Adjacent sections were also processed for assessment of
glial fibrillary acid protein (GFAP) using a commercially available
antibody (Dako, Carpinteria, CA; catalog #Z0334; 1:10,000).
For assessment of apoptosis, detection of DNA breaks by terminal
deoxynucleotidyl transferase-mediated biotinylated UTP nick end
labeling (TUNEL) was performed using a commercially available kit
(Apoptag; Trevigen) in 5 µm sections. In addition, the presence of
single-stranded DNA as a marker for apoptosis was assessed using a
monoclonal antibody in 30 µm sections (Chemicon; catalog #MAB
3299; 1:500). This approach has been shown to stain apoptotic cells
specifically without staining necrotic cells, whereas TUNEL may stain
both apoptotic and necrotic cells (Frankfurt et al., 1996 ).
After the primary antibody reaction was completed, the sections were
then washed extensively in PBS, incubated in biotinylated anti-rabbit
IgG (Vector Laboratories) diluted in 0.4% Triton X-100 in PBS for 1 hr, washed three times in PBS, incubated for 1 hr in
avidin-biotinylated horseradish peroxidase (Vectastain Elite kit;
Vector Laboratories) diluted in 0.4% Triton X-100 in PBS, rinsed three
times in Tris, pH 7.6, and incubated in 50 mg/ml diaminobenzidine tetrahydrochloride (Sigma, St. Louis, MO) and 0.005%
H202 (Sigma) diluted in
Tris, pH 7.6, for variable intervals until appropriate staining was
achieved. The reaction was stopped in PBS, and the sections were
mounted from sodium acetate onto slides coated with gelatin chrom-alum.
For c-fos and glutamate receptor experiments, the resulting
double-labeled neurons are easy to identify because c-fos is localized
to the nucleus, whereas the glutamate receptor marker is found in the
cytoplasm or plasma membrane. Control experiments were always done to
determine whether the primary or secondary antibodies produced
false-positive results.
Sections were assessed using a light microscope, and the distribution
and number of cells containing the particular immunoreactivity were
indicated on camera lucida drawings and maps of the hippocampus and
cortex using the atlases by Paxinos and Watson (1986) . The cytoarchitectural boundaries of the various hippocampal subregions and
cortical layers were defined by superimposing the adjacent thionine-stained sections with the camera lucida drawings. We primarily
analyzed the cellular patterning within the CA1 and CA3 subregions as
well as the cortical layers encompassed within 2.30 mm to 4.80 mm
from bregma using every sixth section. In general, 20 sections were
assessed for every animal, and the data were tabulated and expressed as
the number of observations per 100 or 1000 counted cells as
appropriate. Changes across treatments or time points were compared
using ANOVA procedures followed by Newman-Keuls post
hoc tests. A p value of <0.05 was considered to
achieve statistical significance.
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RESULTS |
Gas exchange and sleep characteristics
In four rats, arterial pO2 decreased
from 89.4 ± 3.2 mmHg in room air to 44.2 ± 2.2 mmHg at the
end of the 1st hypoxic cycle and decreased further to 36.7 ± 2.1 mmHg after the 10th hypoxic cycle with no further changes thereafter.
Arterial pCO2 was 35.7 ± 2.4 mmHg in room
air and decreased to 30.5 ± 1.7 and 26.7 ± 1.4 mmHg at the
1st and 10th cycles, respectively, with no additional changes in
subsequent cycles. Arterial pH was 7.36 ± 0.02, 7.46 ± 0.03, and 7.48 ± 0.03 in room air and at the end of the 1st and 10th cycles, respectively.
For sleep recordings in six rats, control conditions were considered to
be present when ~200 min of NREM and 30 min of REM sleep were
consistently recorded during the 12 hr dark period, indicative of
acclimatization to the chamber environment. This process required 2-3
d in all but one rat who required 4 d. After initiation of EHYP,
disruptions in sleep architecture occurred during the initial 24 hr
EHYP epoch. Indeed, significant decreases in overall sleep duration
that equally affected both NREM and REM sleep occurred (Fig.
1). During the second day of EHYP, a marked increase in NREM and REM sleep durations occurred, indicative of
rebound sleep recovery. From days 3-14 of EHYP, the sleep
characteristics returned to values similar to baseline. Thus, the EHYP
protocol used in these experiments did not lead to sleep deprivation or fragmentation beyond the first day of exposure.

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Figure 1.
Mean duration of REMS and NREMS expressed
in minutes per 2 hr blocks and spanning over the circadian cycle in six
rats during baseline conditions ( ) and during day 1 ( ), day 2 ( ), day 7 ( ), and day 14 ( ) of EHYP exposure. Significant
decreases in REMS and NREMS (indicated as *) occurred during day 1 (p < 0.001, ANOVA vs baseline), whereas
significant increases in REMS and NREMS emerged during day 2 (p < 0.002, ANOVA vs day 1;
p < 0.03, ANOVA vs baseline). The filled
horizontal bar indicates the 12 hr lights-off period. The
vertical dashed line indicates the separation between
lights-off and lights-on period.
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Morris water maze
Results from two replications of the water maze experiments were
almost identical. Therefore the data were combined for analyses. During
place training, the ability of rats to learn the location of a fixed
hidden platform using extramaze spatial cues was determined. Figure
2A illustrates that
male rats (n = 18) exposed to 14 d of EHYP had
more difficulty learning the location of the hidden platform than did
control males (n = 19) across 2 d of
place-training trials in the water maze. To assess performance during
place training, escape latencies and swim path lengths were analyzed by
two-way repeated measures ANOVA (with the treatment and two-trial block as factors and repeated measures on the block), followed by one-way ANOVA between treatments for each block. Rats exposed to 14 d of
EHYP displayed significantly longer escape latencies
[F(1,35) = 8.14; p < 0.01; Fig. 2A] and path lengths
[F(1,35) = 7.53; p < 0.01; Fig. 2B] over the eight place-training trials
on day 1. There were significant block effects for escape latencies
[F(3,105) = 27.79; p < 0. 0001] and for path lengths
[F(3,105) = 11.00; p < 0.0001], indicating that the performance of both groups improved over time. There were no significant treatment × block
interactions. There were no differences in performance between
treatment groups on the first block of day 1 because males from both
groups learned the location of the platform. Rats exposed to 14 d
of EHYP displayed significantly longer escape latencies and path
lengths than did control animals on blocks 2, 3, and 4 (p < 0.05). Animals exposed to EHYP also
displayed significantly longer escape latencies
[F(1,29) = 23.58; p < 0.001; Fig. 2] and path lengths
[F(1,29) = 17.46; p < 0.001; Fig. 2A,B] over the four place-training
trials on day 2 (n = 15-16; three rats from each group
were killed after testing on day 1 for biochemical analyses). There
were significant block effects for escape latencies
[F(1,29) = 7.21; p < 0.001] and for path lengths [F(1,29) = 5.07; p < 0.01]. There were no significant treatment × block interactions. Significant differences
(p < 0.05) were revealed between the
performances of the groups on both blocks for escape latencies and path
lengths.

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Figure 2.
A, Mean escape latencies in a water
maze during place-training trials in 18 rats exposed to EHYP for
14 d ( ) and 19 control rats ( ) on days 1 and 2 of the trials
(*, EHYP vs control, p < 0.01, ANOVA).
B, Mean swim path lengths in a water maze during
place-training trials in 18 rats exposed to EHYP for 14 d ( )
and 19 control rats ( ) on days 1 and 2 of the trials (*, EHYP vs
control, p < 0.01, ANOVA). C, Mean
escape latencies in a water maze during cued trials
(right) and mean target quadrant times during probed
trials (left) in 18 rats exposed to EHYP for 14 d
( , right; open column,
left) and 19 control rats ( , right;
filled column, left) (EHYP vs control,
NS). D, Mean escape latencies (left) and
swim path lengths (right) in a water maze during
place-training trials in 13 rats exposed to EHYP for 14 d ( )
and 13 control rats ( ) tested after 14 d of normoxic recovery
on days 1 and 2 of the trials (*, EHYP vs control,
p < 0.01, ANOVA).
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Additionally, there were no significant differences between the
performance of groups during two cued trials with a marked platform that were conducted to assess possible sensorimotor and motivational deficits (Fig. 2C). Escape latency and path
length data were analyzed by two-way repeated measures ANOVA (with the treatment and trial as factors and repeated measures on the trial).
Figure 2D illustrates that when animals were retested
on the water maze with the platform moved to a new location 14 d
after the termination of treatments, males exposed to EHYP continued to
display impaired performance over eight training trials compared with
males exposed to normoxia. Escape latency and swim path length data
were analyzed by two-way ANOVA (treatment × two-trial block, with
repeated measures on the block), followed by one-way ANOVA between
treatments for each block. Rats exposed to EHYP (n = 13) displayed significantly longer escape latencies
[F(1,24) = 6.62; p < 0.01; Fig. 2D, left] and path
lengths [F(1,24) = 6.59;
p < 0.01; Fig. 2D,
right] over the eight place-training trials than did males
exposed to normoxia (n = 13). There were significant block effects for escape latencies
[F(3,72) = 18.60; p < 0. 0001] and for path lengths
[F(3,72) = 15.00; p < 0.0001], indicating that the performance of both groups improved
over time. There were no significant treatment × block
interactions. Rats exposed to EHYP performed more poorly on blocks 1, 2, and 4.
Immunohistochemistry: NMDA-c-fos immunoreactivity
The expression of NMDA glutamate receptor was examined in
double-labeling experiments for NR1 and c-fos immunoreactivities in
eight rats exposed to EHYP and in eight control animals. Disruption of
the hippocampal CA1 cellular arrangement with enhanced c-fos expression
occurred in all eight EHYP-exposed rats (Figs.
3, 4). Similarly, marked reductions in the number of neurons harboring NMDA
NR1 labeling occurred in the cortex (Cx) and CA1 region. In the cortex,
c-fos protein was primarily expressed within small cells, which were
most likely glia because they also stained for GFAP (Fig.
5). Within the CA1 region, enhanced c-fos
immunoreactivity was restricted to NR1-positive cells. In marked
contrast with the findings in these two regions, no apparent changes
were readily identifiable in the CA3 hippocampal region. Further
semiquantitative analyses of c-fos protein expression revealed that
significant differences emerged in EHYP-exposed animals both for
duration of exposure and regional distribution (CA1, CA3, and Cx; Fig. 4).

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Figure 3.
A, B, Photomicrographs of coronal
sections through the hippocampal formation illustrating NR1 and c-fos
immunoreactivity in room air (A) and after EHYP
for 14 d (B). C, D, Higher
magnification of photomicrographs of the CA1 hippocampal region
(lower boxed area in A, B,
respectively) illustrating the dense NR1 labeling in this
region and the relative paucity of c-fos-labeled neurons during control
conditions (C). In contrast, marked architectural
disorganization is apparent in the CA1 region after a 14 d
exposure to EHYP, and c-fos labeling is also more prominent and
colocalizes with NR1-labeled pyramidal neurons
(D). E, F, Higher magnification of
photomicrographs of the cortex (upper boxed area
in A, B, respectively) illustrating abundant NR1
cellular labeling in this region (E). After
14 d of EHYP, NR1-immunoreactive cells are scarce, and instead
small cells (possibly glia) emerge and display enhanced c-fos nuclear
expression (F). The scale bar is shown on every
image in the right-hand bottom corner.
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Figure 4.
Mean (±SD) number of c-fos-positive cells per 100 cells in the CA1 region (filled columns) and CA3
region (open columns) of the hippocampus and the
adjacent cortex (cross-hatched columns). Significant
increases in c-fos (shown as *) occurred with EHYP in all regions over
time (vs control: CA1, p < 0.0001, ANOVA;
CA3, p < 0.03, ANOVA; Cx,
p < 0.0001, ANOVA) and were more prominent in CA1
and Cx (p < 0.001 vs CA3)
(n = 8 rats for each time point; normoxia indicates
control rats).
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Figure 5.
Photomicrographs of coronal cortical sections
illustrating GFAP immunoreactivity in two control rats (A,
C), and in two rats after exposure to EHYP for 14 d
(B, D).
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Apoptosis
Single-stranded DNA
The effects of EHYP on early induction of apoptosis as evidenced
by increased immunoreactivity for single-stranded DNA (SS-DNA) were
examined in rats exposed to EHYP for 0, 1, 2, 7, and 14 d. Although SS-DNA was rarely present in the hippocampus and neocortex of
control animals (day 0), marked enhancements in the number of cells
positive for SS-DNA became apparent in these structures at days 1 and 2 of EHYP and were followed by a reduction of such nuclear
immunoreactivity at days 7 and 14 (Fig.
6). These changes were similar in
the CA1 region and in the neocortex but were at variance in the CA3
region of the hippocampus where no significant changes occurred over
time with EHYP (Fig. 7).

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Figure 6.
a-c, Photomicrographs of coronal
sections through the hippocampal formation illustrate SS-DNA
immunoreactivity in room air (a) and after EHYP
for 2 d (b) and 7 d
(c). d-f, Higher magnification of
photomicrographs of the CA1 hippocampal region illustrates the scarce
SS-DNA labeling in this region during normoxic conditions
(d) and the marked enhancements in
SS-DNA-positive cells at 2 d EHYP (e),
followed by some reduction at 7 d EHYP (f).
g-i, Similarly, neocortical regions exhibited only
occasional SS-DNA nuclear staining in control (g)
but marked enhancements after EHYP at 2 d
(h) and reductions in SS-DNA labeling at 7 d
(i). The scale bar is shown on every image in the
left-hand bottom corner.
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Figure 7.
Mean (±SD) number of SS-DNA-positive cells per
1000 cells in the CA1 region (filled columns) and
CA3 region (open columns) of the hippocampus and the
adjacent cortex (hatched columns). Significant increases
in SS-DNA labeling occurred with EHYP in CA1
(p < 0.001 vs time 0) and Cx
(p < 0.001 vs time 0) but not in CA3 (NS vs
time 0). A biphasic pattern emerged, by which SS-DNA labeling peaked at
24-48 hr and returned to baseline levels after 14 d of EHYP
(n = 4 rats for each time point;
*p < 0.05 vs time 0).
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TUNEL
EHYP elicited significant enhancements in the number of cells
displaying positive TUNEL labeling (an indicator of apoptosis and
necrosis) in CA1 and Cx but not in CA3 (Fig.
8). The overall time course for
such enhancements in TUNEL labeling was similar to that found in SS-DNA
(Fig. 9). However, at 14 d of
EHYP, the density of cells with TUNEL-positive labeling was still
elevated compared with control (p < 0.05, ANOVA).

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Figure 8.
Photomicrographs of coronal sections of
neocortical regions illustrating TUNEL labeling counterstained with
methyl green, in a rat exposed to room air (A)
and after EHYP for 2 d (B). Similarly, the
CA1 region of the hippocampal formation exhibited only occasional
labeling in a control animal (C) but marked
enhancements after 2 d of EHYP (D). The
scale bar is shown on every image in the left-hand bottom
corner. Examples of positive TUNEL-labeled cells are indicated
by the arrows.
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Figure 9.
Mean (±SD) number of TUNEL-positive cells per
1000 cells in the CA1 region (filled columns) and
CA3 region (open columns) of the hippocampus and the
adjacent cortex (hatched columns). Significant increases
in TUNEL labeling occurred with EHYP in CA1
(p < 0.001 vs time 0) and Cx
(p < 0.001 vs time 0), and smaller
increases occurred at 2 d of EHYP in CA3
(p < 0.05 vs time 0). A biphasic pattern
emerged, such that TUNEL labeling peaked at 48 hr and decreased
thereafter, but without returning to baseline values at 14 d
(n = 4 rats for each time point;
*p < 0.05 vs time 0).
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DISCUSSION |
Daylight EHYP is associated with transient sleep deprivation
followed by sleep recovery. However after 14 d of EHYP, learning impairments during acquisition of a spatial memory task occurred and
were only partially reversed after 14 d of recovery. Anatomical correlates for such decreases in behavioral maze performance show time-dependent increases in apoptosis within the cortex and CA1 region
of the hippocampus with little effect on the CA3 region. The increase
in cell loss within this region is associated with marked changes in
the tissue distribution of NMDA-harboring cells within the affected
regions and increased c-fos protein expression in surviving cells.
Episodic hypoxia profile
The selected EHYP profiles aimed to reproduce the overall
cumulative hourly oxygen desaturation patterns routinely observed in
moderately severe OSA patients. The cumulative arterial blood gases at
various time points during the alternating 10%
O2-room air 90 sec cycle confirmed the
anticipated alternation of moderate hypoxemia with normoxemia, such
that calculated oxyhemoglobin saturations ranged from 62 to 70% and
were clearly within the range of those recorded in OSA patients.
Other investigators have previously used similar EHYP approaches to
mimic the episodic hypoxia of OSA. In these profiles, hypoxic cycles
varied between 30 sec (Fletcher, 1995 ; Sica et al., 2000 ) and 45 min
(Chaufour et al., 1999 ). However, sleep architecture was not assessed.
Notwithstanding such an important limitation, EHYP induced the
increases in sympathetic outflow and the systemic and pulmonary artery
pressures that typically occur in OSA patients (Bakehe et al., 1996 ;
Lesske et al., 1997 ; McGuire and Bradford, 1999 ). Furthermore,
increased c-fos labeling was seen in brainstem regions involved in the
regulation of sympathetic neural discharge (Greenberg et al., 1999 ).
The evolution of sleep architecture during EHYP indicated that the
initial circadian phase of EHYP was associated with significant REM and
NREM fragmentation. However, sleep recovery occurred, and the overall
sleep architecture normalized thereafter. Thus, the rodent exposure
model used herein provides initial insights into the regulation of
sleep homeostasis during EHYP and offers the opportunity to examine
selectively particular aspects of neurobehavioral and structural
consequences of EHYP exposure during sleep.
Neurobehavioral studies
The present experiments indicate that 14 d of EHYP impaired
acquisition of a water maze task that depended on spatial reference memory. Males exposed to EHYP performed significantly more poorly than
did control males on place-training trials across 2 d of testing.
There were no effects of EHYP on performance during cued trials,
indicating that all rats could discriminate and swim equally well to a
marked escape platform. Unexpectedly, there were no significant
differences revealed between the groups during a single-probe trial to
measure retention that may have been inadequate to detect a spatial
bias for the target quadrant. However, after 14 d of recovery,
males exposed to EHYP continued to perform more poorly than did males
exposed to normoxia on place-training trials, although the difference
in performance was much less than was demonstrated on place-training
trials conducted on the days immediately after termination of hypoxic conditions.
EHYP may affect water maze performance by altering various nonmnemonic
factors rather than the neural substrates that directly mediate
learning and memory. These could include body weight, sensorimotor
function, thermoregulation, and fear and stress responses (Albert et
al., 1970 ; Hicks and Moore, 1979 ; Ettinger and Staddon, 1982 ;
Horne and McGrath, 1984 ; Shukitt-Hale et al., 1994 ; Mabry et al., 1996 ;
Youngblood et al., 1997 ). However, in the present study, no significant
differences were found between EHYP-exposed rats and normoxic rats on
the first two place-training trials or during cued trials, indicating
that all rats could swim equally well to the platform. Also, in
addition to latency to mount the platform, performance was measured by
swim path length, a measure that was independent of swim speed. Thus,
it is unlikely that nonmnemonic factors played a significant role in
the impairment in performance seen in EHYP rats.
The ability to use spatial information from extramaze cues that was
required in the reference memory version of the water maze task has
been shown to be hippocampal dependent (Eichenbaum et al.,
1990 ). Our results demonstrated that EHYP-exposed rats displayed
marked cellular disruptions in the CA1 region of the hippocampus. Thus,
it is not surprising that exposure to EHYP impaired performance during
place-training trials but not during the cued trials (Morris, 1981 ,
1984 ). In fact, rats with hippocampal lesions were not impaired in the
cued platform version of the water maze (Eichenbaum et al.,
1990 ).
The behavioral analysis indicates that 14 d of EHYP impaired
normal acquisition of a standard water maze task that depends on the
hippocampus without affecting sensorimotor functions that are regulated
by brain regions outside the hippocampus. After 14 d of recovery,
rats exposed to EHYP continued to show a partial deficit in maze
performance when the hidden platform was moved to a different quadrant.
Interestingly, the partial recovery of cognitive deficits exhibited by
EHYP-exposed rats is uniquely reminiscent of the persistence of
short-term memory impairments in OSA patients despite effective therapy
(Bedard et al., 1993 ; Naegele et al., 1998 ).
NMDA-c-fos immunoreactivity
The overall patterns of NR1 expression in the hippocampal and
cortical regions of control animals are in close agreement with those
of previous studies (Rigby et al., 1996 ; Rudolf et al., 1996 ). The
marked alteration in cytoarchitectural boundaries within the pyramidal
cell layer of CA1 and within the cortex is also compatible with the
significant reductions in maze performance exhibited by EHYP-treated
rats (Morris, 1989 ). Of note, extensive glial proliferation was
apparent within the cortex but not within CA1 as demonstrated by GFAP
immunoreactivity. However, the possible mechanism accounting for the
disparity in glial response between these two EHYP-susceptible sites
remains unclear. The reduction of NR1-positive cell density in the
cortex and CA1 parallels the reduction in NMDA-binding sites reported
by Pichiule et al. (1996) in young rats chronically exposed to
hypobaric hypoxia. Indeed, the cortex and hippocampus had a 36 and 35%
reduction in binding sites, respectively (Pichiule et al., 1996 ). Thus,
long-term hypoxic conditions are associated with profound decrements in
NMDA receptor expression, suggesting that NMDA glutamate
receptor-expressing cells may have increased vulnerability to hypoxia,
possibly via slowly evolving excitotoxicity processes (Albin and
Greenamyre, 1992 ).
The marked increase in c-fos immunoreactivity after 14 d of EHYP
exposure was not completely unexpected because such increases were
shown previously within brainstem regions underlying autonomic regulation (Greenberg et al., 1999 ). This study further extends these
observations to more rostral brain structures, but the significance of
c-fos enhancements in the context of long-term EHYP exposure remains
unknown. Of interest, increased c-fos immunoreactivity was primarily
restricted to NR1-immunoreactive neurons, and such a relationship may
suggest an important role for immediate early genes in long-term
survival and adaptation to stressful conditions such as intermittent
oxygen deprivation or alternatively may indicate which neurons will
irreversibly commit to apoptosis (Takemoto et al., 1995 ; Walton et al.,
1998 ).
Apoptosis
Increased apoptotic staining occurred within the CA1 region of the
hippocampus and cortex and followed a biphasic response by which after
peak increases in apoptosis at 24-48 hr of EHYP, programmed cell death
was gradually reduced and reached control values at 14 d for
SS-DNA, while remaining slightly above control values for TUNEL. These
data suggest that after exposure to EHYP, apoptotic mechanisms are
induced and selectively localize to particular cellular populations
within the hippocampal formation and cortex. The slight disparities
between TUNEL and SS-DNA labeling at day 14 of EHYP could reflect
sensitivity differences between the two methods in the detection of
apoptosis. Alternatively, because TUNEL is considered to be a less
specific marker of apoptosis (Grasl Kraupp et al., 1995 ; Frankfurt et
al., 1996 ), other cells in the process of death by nonapoptotic
mechanisms may have also been labeled (Chen et al., 1997 ; Labat Moleur
et al., 1998 ). It needs to be emphasized that the magnitude of tissue
hypoxia used in this study was relatively mild compared with the levels
of hypoxia required for induction of apoptosis using a single exposure (Banasiak and Haddad, 1998 ). It is possible that the cumulative duration of hypoxia over time and/or the recurring pattern of the
hypoxic challenge leading to hypoxia-reoxygenation injury may have
exacerbated the susceptibility of more vulnerable cellular populations
to EHYP insult.
The selective tolerance of the CA3 hippocampal region to EHYP is not
surprising because of previous studies demonstrating the high
susceptibility of CA1 to hypoxia when compared with CA3 (Kawasaki et
al., 1990 ; Kreisman et al., 2000 ). Although the current experiments do
not provide additional insights into the mechanisms underlying the
selective regional vulnerability to EHYP, they provide the initial
description of such phenomenon in the context of episodic hypoxia and
suggest that cognitive functions primarily mediated by CA1 rather than
by CA3 are more likely to be damaged. Furthermore, the apoptotic events
described herein appear to be temporally restricted, suggesting either
that all EHYP-sensitive cells within a region have been affected within
a few days and undergone cell death or that some adaptive mechanisms
may have been activated during the initial phases of EHYP to ensure
long-term survival. Additional studies are clearly needed to elucidate
which survival mechanisms confer tolerance to EHYP.
A major and obvious limitation of the present study is the descriptive
nature of its findings. Although the present experiments provide an
extensive characterization of a rodent model of intermittent hypoxia
during sleep that is not associated with major sleep disruption, the
mechanisms responsible for the neurobehavioral performance deficits,
increased apoptosis, and cellular rearrangements within the hippocampal
formation and neighboring cortical regions remain to be defined.
Notwithstanding such limitations, the present model provides initial
support for the conceptual framework that intermittent hypoxia during
sleep is associated with substantial deterioration of behavioral
performance and with parallel disruption of the anatomical substrate.
Thus, the present model opens the way for future exploration of the
individual roles and potential interactions between sleep disruption
and intermittent hypoxia and hypercapnia and their roles in the
pathophysiology of OSA-induced neurocognitive morbidity.
 |
FOOTNOTES |
Received Sept. 26, 2000; revised Dec. 13, 2000; accepted Jan. 11, 2001.
This study was supported by National Institutes of Health Grants
HL-63912 and HL-65270 and by American Heart Association Grant AHA-0050442N. The technical assistance of Ying-Dan Xue and Ken Brittain
is greatly appreciated.
Correspondence should be addressed to Dr. David Gozal, Kosair
Children's Hospital Research Institute, University of Louisville, 570 South Preston Street, Suite 321, Louisville, KY 40202. E-mail: d0goza01{at}gwise.louisville.edu.
 |
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